Daniel Ladner Facing UBS Investor Arbitration Claim About Breach Of Fiduciary Duty

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. Investor Accused Dan Ladner Of Negligence, Breach Of Fiduciary Duty

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.

Daniel Ladner Disclosed Unauthorized Trading Allegations By Morgan Stanley Co. Incorporated Client

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.

Have You Made Investments Through Financial Advisor / Securities Broker Dan Ladner?

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.