Soreide Law Group is investigating possible investor claims against securities broker Joseph P. Katzaroff (also known as Joseph Patrick Katzaroff) [CRD: 1811119, Irvine, California]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Notably, investors allege unsuitable trading. Here is a brief summary of the disclosures about Katzaroff.
Particularly, on June 1, 2023, a UBS Financial Services Inc. client filed a complaint about Joseph Katzaroff. Namely, the client alleged that Katzaroff engaged in unsuitable trading. Because of this, the client allegedly sustained damages. Therefore, the client requested $1,000,000 in compensation from UBS Financial Services Inc. or Katzaroff. Evidently, this complaint is pending a resolution.
Also, a client of UBS Financial Services Inc. contested Joseph Katzaroff’s sales practices, according to a complaint dated April 25, 2016. Allegedly, Katzaroff made unsuitable recommendations, engaged in unauthorized trading, and made omissions. Supposedly, Katzaroff caused the client to sustain damages. Therefore, the client sought compensatory relief from UBS Financial Services Inc. or Katzaroff in this matter. However, the securities firm and broker denied this complaint.
Particularly, a PaineWebber client filed a complaint about Joseph Katzaroff. Namely, the client alleged that Katzaroff engaged in unsuitable trading. Because of this, the client allegedly sustained damages on unit investment trusts. Therefore, on October 16, 2000, PaineWebber settled this matter by paying the client $110,000 in damages.
Also, a client of PaineWebber contested Joseph Katzaroff’s sales practices by filing NASD Arbitration: 98-04791. Allegedly, Katzaroff made misrepresentations, made unsuitable recommendations, and breached a fiduciary duty. It appears that Katzaroff caused the client to sustain damages. Therefore, PaineWebber opted to settle the matter on May 18, 1999, by compensating the client in the amount of $73,000.
Joseph Katzaroff worked for UBS Financial Services Inc. as a securities broker since August 1988 and as a financial advisor since July 1997.
Did you sustain damages through Joseph Katzaroff? If so, contact Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group, who has helped recover money for investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Katzaroff and brokerage firms Katzaroff worked for deny accusations of sales practice violations.
LINCOLN LUCAS MASON (LINCOLN L MASON) formerly of Edward Jones of Arnolds Park, Iowa, from 03/29/2019 - 12/23/2021, was suspended for 90 days and fined $5,000.00 by FINRA. Mason was previously registered both as an investment advisor and as a broker. According to the FINRA report, without admitting or denying FINRA’s findings, LINCOLN L MASON […]
Investors have reportedly disputed the sales practices of securities broker John Howard Saunders [CRD: 870131, Vero Beach, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Saunders has been registered with UBS Financial Services Inc. since May 11, 2007, operating from both Vero Beach, Florida, and Roanoke, Virginia. Read on to discover […]
Investors potentially experienced sales practice violations due to securities broker Edward Muster [CRD: 1012341, Boca Raton, Florida], based on public information on FINRA BrokerCheck. Evidently, Edward Muster worked for Herbert J. Sims Co. Inc. from May 14, 1998, to July 7, 2020. Keep reading to find out more about Edward Muster’s disclosures. Herbert J. Sims […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com