Investors possibly experienced losses because of securities broker Patrick Alexander Moriarty [CRD: 4764378, Boston, Massachusetts], according to publicly available information on FINRA BrokerCheck. Evidently, Patrick Moriarty worked for UBS Financial Services Inc. from October 26, 2007, to August 30, 2024. Check out the following information about Patrick Moriarty’s regulatory disclosures.
Specifically, on April 16, 2025, the Massachusetts Securities Division issued Case: R-2024-0472 sanctioning Patrick Moriarty. Moriarty was issued a Consent Order imposing Conditional Registration. Notably, the Massachusetts Securities Division alleged that Moriarty exercised discretion in client accounts without first securing prior approval.
Additionally, on August 1, 2024, UBS Financial Services Inc. disaffiliated with Moriarty. UBS Financial Services Inc. alleged that Moriarty violated firm policies by engaging in discretionary trading, making wrong attestations about monetary transactions, and failing to be fully transparent with the broker through an internal investigation.
Also, a client filed a complaint about Patrick Moriarty. Supposedly, Moriarty engaged in unauthorized trading. Because of this, the client allegedly incurred losses through investing in municipal bonds. Because of this, on November 25, 2024, UBS Financial Services Inc. settled this matter by paying the client $1,000,000.00 in damages.
Particularly, a client of UBS Financial Services Inc. contested Patrick Moriarty’s sales practices, according to a complaint dated July 21, 2008. Allegedly, Moriarty made unsuitable recommendations by placing the client in annuities that were volatile when the client wanted to invest conservatively. Therefore, the client sought compensation from UBS Financial Services Inc. or Moriarty in the amount of $35,000.00 in this matter.
Do you have concerns or questions about your investments with Patrick Moriarty? You can reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer about a possible recovery. Soreide Law Group has over a decade of experience recovering losses for investors throughout the United States. The firm also works on a contingency fee basis and advances all costs. Moriarty and the securities firms Moriarty worked for deny accusations 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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