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.
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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