Haselkorn & Thibaut, a leading national investment fraud law firm, has opened an investigation into Diane Veenendaal, a financial advisor based in Brookfield, Wisconsin, and registered with UBS Financial Services. If you are an investor working with Diane Veenendaal or have questions about your accounts at UBS Financial Services, this report provides a clear, up-to-date overview of her record as of early 2026, recent developments, and potential red flags for investors to consider. Our goal is to help you make informed decisions and to encourage those with concerns to take advantage of a free, confidential consultation with our experienced team.
About Diane Veenendaal – UBS Financial Services, Brookfield, WI
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Diane Veenendaal (CRD# 1143233) is a seasoned financial advisor with a career spanning four decades in the securities industry. She is currently registered both as a broker and as an investment adviser with UBS Financial Services in Brookfield, Wisconsin. Her registrations at UBS as a broker began in 1993 and as an investment adviser since 1996. In addition to her long tenure at UBS, her previous experience includes roles at Everen Securities and Blunt Ellis & Loewi.
Veenendaal holds several key securities credentials:
- Securities Industry Essentials Exam (SIE)
- General Securities Representative Exam (Series 7)
- Uniform Securities Agent State Law Exam (Series 63)
- Uniform Combined State Law Exam (Series 66)
She is licensed to operate in a wide array of states, including California, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Massachusetts, Minnesota, New Jersey, South Carolina, Tennessee, Texas, Virginia, Washington, and Wisconsin.
Recent Developments and Allegations
As of February 2026, one significant investor complaint has come to light:
| Date Filed | Allegations | Requested Damages | Status |
|---|---|---|---|
| October 2025 | Alleged failure to act in the customer’s best interest by “allowing fraudulent credit card charges and checks to be made from the account.” | $5,000,000 | Denied by UBS Financial Services |
This complaint is noteworthy due to the size of the alleged damages — $5 million — and the serious nature of the accusations. Although UBS has denied the complaint, investors should always pay careful attention to any such disclosure and consider the overall picture, especially if you have similar concerns about unauthorized account activity or questionable transactions.
Previous Regulatory and Legal Background
As of June 2024, all major public sources including FINRA BrokerCheck, the SEC, federal and state court records, and news outlets did not report any:
- Customer-initiated complaints
- Regulatory actions by FINRA or state securities authorities
- Civil or criminal judicial disclosures
- Bankruptcy filings
- Federal or state lawsuits
- Media or industry press coverage of any disputes, lawsuits, or enforcement actions
It is important to understand that new disclosures may arise and you should periodically re-check public records or consult with a professional to ensure you have the latest information regarding your financial advisor.
Understanding Regulatory Standards
Brokers and investment advisers must follow stringent rules set by the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Some of the most relevant rules for investors include:
- Suitability Rule (FINRA Rule 2111): Brokers must have a reasonable basis to believe that investment recommendations are suitable based on each investor’s profile (age, income, financial goals, risk tolerance, etc.).
- Regulation Best Interest: Requires brokers to put clients’ interests first, and avoid or disclose conflicts of interest.
Violations of these standards, such as allowing unauthorized transactions or recommending unsuitable investments, can lead to significant investor losses and regulatory consequences.
Potential Red Flags for Investors
- Large Alleged Loss: The disclosure of a $5 million investor complaint, even if denied, is a major event and should prompt close review of your own account statements and experience.
- Alleged Unauthorized Activity: The specifics of the complaint involved alleged failure to prevent fraudulent credit card charges and fraudulent checks. If you notice irregularities or unfamiliar transactions, this can be a sign to act quickly.
- Denial of Complaint by the Firm: While the firm’s decision does not prove or disprove the customer’s allegations, it is still crucial for clients to do independent research and take action if you believe you may be affected.
What You Should Do Next
Review your investment accounts carefully for any unusual activity. Be alert for statements you don’t understand, missing funds, or transactions you don’t recognize. If you have concerns about any of these issues—especially if you are concerned about investments with Diane Veenendaal or UBS Financial Services—you are not alone.
Haselkorn & Thibaut is actively investigating Diane Veenendaal and her activities at UBS Financial Services on behalf of investors nationwide. With over 50 years of combined experience, a 98% success rate, and millions recovered for clients, our firm takes pride in providing guidance and advocacy for investors who may have experienced losses or misconduct. We work on a no recovery, no fee basis, so there is no risk in reaching out.
Contact Haselkorn & Thibaut for a Free Consultation
- No cost, no obligation case review
- Confidential and experienced legal guidance
- Personalized help from national investment fraud lawyers
Take control of your financial future. Call Haselkorn & Thibaut today at 1-888-885-7162 or visit investmentfraudlawyers.com for a free and confidential consultation.
You deserve peace of mind with your investments and an advocate who puts your needs first. If you have any concerns about Diane Veenendaal, your UBS Financial Services account, or any other broker or advisor, don’t hesitate to take the next step.
