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Julian Gingold Formerly With UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Julian Gingold formerly with UBS Financial Services?

Julian Gingold (CRD #222170) who was formerly registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  He was discharged from his last employment at UBS Financial Services for allegedly failing to escalate a complaint, seek approval of outside business activities, suspected of mismarking trade tickets, and forgiving various inconsistent responses during the firm to review of his activities.

Julian Gingold Customer Complaint

Julian Gingold has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were unauthorized trading and a breach of fiduciary responsibility. Julian Gingold’s customer complaint was denied and the customers did not take any further action.

Julian Gingold Red Flags & Your Rights As An Investor

Of course, Julian Gingold 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 Julian Gingold at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Julian Gingold has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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.

File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Julian Gingold

If you have questions about UBS Financial Services and/or Julian Gingold 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.

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Robert Wayne Pearce

Robert Wayne Pearce has been a trial attorney for more than 40 years and is the founding partner of The Law Offices of Robert Wayne Pearce. You can learn more about Robert and his accomplishments by clicking here.

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