UBS Financial Services Inc. Broker Joseph Katzaroff Accused of Unsuitable Investment Recommendations

UBS Financial Services Inc.

Erez Law is interested in speaking with investors who may have suffered losses due to investments with UBS Financial Services Inc. broker Joseph Katzaroff (CRD# 1811119). He has been registered with UBS Financial Services Inc. in Irvine, California, since 1997.

Joseph Katzaroff Customer Complaints

He has been the subject of four customer complaints between 1999 and 2023, one of which was denied, according to his CRD report. The most recent complaint was regarding: 

June 2023. “Time Frame: March 1st, 2021 to March 28th, 2022 What were the allegations against the individual? The Trustee, through representation, alleges unsuitability, citing that the advisor group failed to consider the trustee’s best interest when managing her portfolio. The Trustee further alleges that the advisor group did not execute investments or an investment strategy consistent with the strategy and goals of the Trustee.” The customer is seeking $1 million 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 Joseph Katzaroff’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.