One or more investors possibly experienced losses due to securities broker Daniel Silverberg (also known as Dan Silverberg and Danny Silverberg) [CRD: 1576956, Margate City, New Jersey], according to public information on FINRA BrokerCheck. Notably, Silverberg worked for UBS Financial Services Inc. from July 22, 2021, and worked for Morgan Stanley from March 23, 2012 to July 26, 2021. Keep reading to find out more about Silverberg’s disclosures involving alleged client losses and pending arbitration claims.
Evidently, on March 28, 2025, a UBS Financial Services Inc. client filed FINRA Arbitration No. 25-00630 about Daniel Silverberg. Mainly, the client alleged that Silverberg made unsuitable recommendations given the client’s risk tolerance. For this reason, the client allegedly sustained damages linked to securities-backed loans and stocks. Therefore, the client requested $1,127,695.79 in compensation from UBS Financial Services Inc. or Silverberg. This arbitration is pending a resolution.
Particularly, a client of UBS Financial Services Inc. disputed Daniel Silverberg’s sales practices by filing FINRA Arbitration No. 11-01539. Allegedly, Silverberg made unsuitable recommendations connected to the purchase of structured notes. It appears that Silverberg caused the client to sustain damages. Thus, UBS Financial Services Inc. opted to settle the matter on August 8, 2012, by compensating the client in the amount of $21,717.50.
Do you need clarification on any investment losses relating to Daniel Silverberg? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer. Soreide Law Group has recouped losses for investors throughout the USA. Also, the firm works on a contingency fee arrangement and advances the costs. Silverberg and brokerage firms Silverberg worked for deny allegations of sales practice violations.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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