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Neil Konigsberg Of UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Neil Konigsberg of UBS Financial Services?

Neil Konigsberg (CRD #1784265) who is currently registered with UBS Financial Services and located in San Francisco, California is a subject of one of our many securities industry sales practice abuse investigations.

Neil Konigsberg Customer Complaints

Neil Konigsberg has been the subject of 2 customer complaints that we know about. One of Neil Konigsberg’s 2 customer complaints was settled in favor of investors. One of Neil Konigsberg’s customers; complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Neil Konigsberg

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

  • Following the bankruptcy filings of Lehman Brothers Holdings, Inc. (LBHI) and the liquidation of Lehman Brothers Inc., former Lehman clients alleged that Neil Konigsberg misrepresented the nature and investment risk associated with a LBHI bond they had purchased approximately one year ago. Clients further alleged that their purchase was an unsuitable investment.
  • The client alleged his risk profile was changed on his account allegedly by Neil Konigsberg and therefore his account was not managed to the guidelines agreed upon.  

Neil Konigsberg Red Flags & Your Rights As An Investor

Of course, Neil Konigsberg 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 Neil Konigsberg at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Neil Konigsberg 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 firms’ 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 Neil Konigsberg

If you have questions about UBS Financial Services and/or Neil Konigsberg 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 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.

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