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.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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