UBS Financial Services Inc. Broker Daniel Egbert Investment Loss Options

UBS Financial Services Inc.

Did you lose money investing with UBS Financial Services Inc. broker Daniel Egbert (CRD# 3126238)? He has been registered with UBS Financial Services Inc. in Raleigh, North Carolina, since 1999. 

Daniel Egbert Customer Complaints

He has been the subject of two customer complaints between 2019 and 2022, according to his CRD report:

November 2022. “[Time frame: Starting in or about May 2021] Claimants allege that Respondents failed to disclose selling restrictions / liquidity limitations imposed by third-party money manager.” The customer is seeking $817,890 in damages, and the case is currently pending. 

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, UBS Financial Services Inc. may be liable for investment or other losses suffered by Daniel Egbert’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.