| Read Time: 2 minutes | News & Articles | UBS Financial Services Complaints |


Joseph Katzaroff Of UBS Financial Services Inc. Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Joseph Katzaroff of UBS Financial Services Inc.?

Joseph Katzaroff

Joseph Katzaroff (CRD #1811119) who is currently registered as a broker and investment adviser with UBS Financial Services Inc. and located in Irvine, California, is a subject of one of our many securities industry sales practice abuse investigations.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Joseph Katzaroff Customer Complaints

Joseph Katzaroffhas been the subject of 4 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by Joseph Katzaroff’s former employer in favor of the investors. One complaint was denied and the other is still pending.

Allegations Against Joseph Katzaroff

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unsuitability and failure to consider trustee’s best interests when managing her portfolio.
  • Unauthorized trading and failure to disclose risks of the investments.
  • Overconcentration in REITS investments.
  • Fraud, misrepresentation, unsuitability, and breach of fiduciary duty.

Joseph Katzaroff Red Flags & Your Rights As An Investor

Of course, Joseph Katzaroff did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Joseph Katzaroff at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Joseph Katzaroff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Joseph Katzaroff

If you have questions about UBS Financial Services Inc. and/or Joseph Katzaroff and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars