Investors potentially incurred losses because of securities broker Daniel W. Ladner [CRD: 2932904, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Daniel Ladner has been registered with UBS Financial Services Inc. since November 7, 2008. Read on to discover more about Daniel Ladner’s disclosures.
Particularly, on August 22, 2025, a UBS Financial Services Inc. client filed FINRA Arbitration No. 25-01726 about Daniel Ladner. The client alleged that Ladner was negligent and breached his fiduciary duty related to the disclosures and handling of their accounts and a securities-backed loan. The client further claimed that Ladner did not carry out instructions to sell investments in order to reduce a loan balance and persuaded the client to deposit money into accounts for investments that were never made. For this reason, the client allegedly incurred damages. Consequently, the client requested $1,000,000 in compensation from UBS Financial Services Inc. or Ladner. It appears that this arbitration is pending a resolution.
Additionally, a client of Morgan Stanley Co. Incorporated disputed Daniel Ladner’s sales practices, according to a complaint. Allegedly, Ladner engaged in unauthorized trading by purchasing municipal bonds without the client’s approval. It appears that Ladner caused the client to sustain damages. Consequently, Morgan Stanley Co. Incorporated opted to settle the matter on March 16, 2009, by compensating the client in the amount of $25,907.56.
Did you experience losses because of Daniel Ladner? You can contact Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney concerning a potential recovery of your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Ladner and brokerage firms Ladner worked for deny allegations of sales practice violations.
RONALD G SMITH (RON G SMITH) was formerly registered with SPARTAN CAPITAL SECURITIES of New York, NY from 07/01/2013 - 12/26/2023, and most recently with SANFORD C BERSTEIN & CO of Stamford, Connecticut from 01/11/2024 – 11/10/2025, was permanently barred by FINRA with the starting date of 11/10/2025. According to the FINRA report, without admitting […]
Jacob Lee Harper (Jacob L Harper, Jake Harper) formerly registered as a broker and a financial advisor, was suspended for twenty-two months and fined $17,500.00 after FINRA alleged he borrowed thousands of dollars from clients without his firm’s knowledge and later allegedly provided false information to regulators. The “Regulatory” disclosure on BrokerCheck is dated 11/10/2025. […]
Investors potentially incurred losses because of securities broker Daniel W. Ladner [CRD: 2932904, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Daniel Ladner has been registered with UBS Financial Services Inc. since November 7, 2008. Read on to discover more about Daniel Ladner’s disclosures. UBS Financial Services Inc. […]
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