Our firm is investigating UBS Financial Services Inc. financial advisor Daniel W. Ladner (CRD# 2932904) of New York, New York for potential investment-related misconduct.
Financial Advisor’s Career History
According to his FINRA BrokerCheck report, Daniel W. Ladner has been registered with UBS Financial Services Inc. since November 7, 2008, working from the firm’s New York, NY office location.
Prior to UBS, Ladner was registered with Morgan Stanley & Co. Incorporated from April 2007 to November 2008 (New York, NY).
Earlier in his career, he was registered with Morgan Stanley (including Morgan Stanley DW Inc.) from approximately May 1998 through April 2007.
Daniel W. Ladner Fraud Allegations and Investor Complaints Explained
FINRA BrokerCheck reflects two customer dispute disclosures for Daniel W. Ladner—one settled and one pending.
Disclosure summary (for context):
- Customer Dispute (Settled) — Allegation: Client claimed they did not authorize the purchase of municipal bonds in April 2008; Alleged damages: $16,414; Complaint received: 11/14/2008; Disposition/Status date: Settled (03/16/2009); Settlement amount: $25,907.56; Individual contribution: $0.00.
- Customer Dispute (Pending / FINRA Arbitration) — Time frame: 2014–2024; Allegations: negligence, breach of fiduciary duty, and fraud tied to account handling and disclosures relating to a securities-backed loan, including alleged failure to follow instructions to liquidate investments to pay down the loan and alleged inducement to deposit funds for investments that were never purchased; Alleged damages: $1,000,000; Filed/received: 08/22/2025; Forum: FINRA Arbitration; Case #: 25-01726; Status: pending.
Settled complaint alleging unauthorized municipal bond purchase (Morgan Stanley era)
BrokerCheck states that a client alleged they did not authorize the purchase of municipal bonds in April 2008 while Ladner was associated with Morgan Stanley & Co. Incorporated, with alleged damages of $16,414. The matter was reported as settled on March 16, 2009 for $25,907.56, with $0 attributed as an individual contribution, and the broker’s/firm’s statement reflects a denial of the allegations with the payment characterized as a client accommodation.
Pending FINRA arbitration alleging loan-related fraud and failures to follow liquidation instructions (UBS)
BrokerCheck also discloses a pending FINRA arbitration (Case # 25-01726) received/filed August 22, 2025, alleging (among other things) negligence, breach of fiduciary duty, and fraud connected to the handling and disclosures related to the claimant’s accounts and a securities-backed loan, including an alleged failure to follow instructions to liquidate investments to reduce the loan balance and alleged inducement to deposit funds for investments that were never purchased, with $1,000,000 in alleged damages. The broker statement in the disclosure reflects a denial of the allegations.
To obtain a copy of Daniel W. Ladner’s FINRA BrokerCheck report, visit this link.
Robert Wayne Pearce Is Committed to Recovering Your Investment Losses
FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) is a broad ethical rule requiring member firms and their associated persons to observe high standards of commercial honor and just and equitable principles of trade; allegations such as unauthorized municipal bond purchases or failing to carry out client instructions to liquidate positions can be analyzed under FINRA Rule 2010 because the core issue is whether the conduct was fair, honest, and consistent with just and equitable principles.
FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices) prohibits effecting transactions or inducing purchases or sales through manipulative, deceptive, or other fraudulent devices; allegations that a client was induced to deposit funds for investments that were allegedly never purchased, or that material disclosures were allegedly mishandled in connection with accounts and a securities-backed loan, may implicate Rule 2020 principles when the theory is deception or fraud in connection with securities activity.
FINRA Rule 2150 (Improper Use of Customers’ Securities or Funds) prohibits improper use of customer securities or funds; while the exact applicability depends on the proven facts, disputes alleging unauthorized activity, mishandling of customer-directed funds, or other misuse themes are often evaluated in light of Rule 2150’s investor-protection purpose—particularly where the claim frames conduct as an improper handling of customer assets or account activity.
Losing your savings to a dishonest broker or advisor can be devastating, but you do not have to face it alone. Robert Wayne Pearce and his team have spent over four decades helping investors who were misled or defrauded by Wall Street firms. The Law Offices of Robert Wayne Pearce, P.A. takes cases nationwide on a contingency fee basis. You pay nothing unless we recover your losses. Call (800) 732-2889 or email pearce@rwpearce.com today for a free and confidential consultation.
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