Who Is Daniel W. Ladner of UBS Financial Services Inc. (New York, NY)?
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Daniel W. Ladner is a registered financial advisor based in New York, New York, currently associated with UBS Financial Services Inc. since November 2008. His tenure at UBS follows prior employment at Morgan Stanley & Co. and related Morgan Stanley entities. Ladner holds several industry qualifications, including the Series 7, 63, and 66 licenses, alongside life and health insurance credentials in multiple states. His advisory practice is primarily involved in retail investments and securities-backed lending.
- Current Firm: UBS Financial Services Inc. (299 Park Avenue, New York, NY 10171)
- CRD Number: 2932904
- Prior Firms: Morgan Stanley & Co. Incorporated, Morgan Stanley, Morgan Stanley DW Inc.
- Other Affiliations: SAG-AFTRA, JDEX Tech Inc.
- Licensing: Series 7, 63, 66, Life & Health Insurance
Customer Complaints and Disputes: What Do You Need to Know?
The most critical information for investors concerns recent and historical customer complaints and disclosures:
Open Customer Dispute – 2025 FINRA Arbitration
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In August 2025, a customer of UBS Financial Services Inc. filed FINRA Case No. 25-01726 against Daniel W. Ladner. The allegations included:
- Negligence
- Breach of fiduciary duty
- Fraud related to the handling and disclosures in client accounts
The customer claims that Ladner failed to follow explicit instructions to liquidate investments in order to pay down a securities-backed loan and induced them to deposit funds for investments that never materialized. Damages being sought total $1,000,000 and this matter remains unresolved as of this report.
Settled Customer Complaint – March 2009
- Ladner disclosed a closed complaint from a client in April 2008, alleging an unauthorized purchase of municipal bonds. This matter settled for $25,907 in March 2009.
Other Public Records
- No additional customer-initiated complaints or arbitration claims.
- No regulatory or disciplinary actions by FINRA, the SEC, or any state regulators.
- No civil lawsuits or class actions reported relating to investment services provided by Ladner.
- No insider trading referrals or negative industry press coverage.
- No terminations for cause or related U5 disclosures.
Red Flags and Allegations:
Analyzing the above disclosures and industry records, there are certain areas prospective clients should approach with caution:
| Red Flag | Description/Details |
|---|---|
| Open FINRA Arbitration | Current dispute seeking $1,000,000 for alleged negligence, breach of fiduciary duty, and fraud involving account management and a securities-backed loan. |
| Past Customer Settlement | Previously settled customer complaint regarding unauthorized trading (municipal bonds) for $25,907 in 2009. |
| Allegations of Misconduct | Includes claims of unsuitability, failure to act in best interest (Reg BI violations), misrepresentation or omission of material facts, and unauthorized trading behaviors. |
Understanding Broker Misconduct & Potential Risks
Investor complaints and regulatory disclosures are valuable indicators for any individual entrusting their assets to a financial advisor. Allegations such as unsuitability, misrepresentation, unauthorized trading, and breach of fiduciary duty emphasize the importance of advisor transparency, proactive communication, and meticulous adherence to client instructions.
The existence of a current seven-figure arbitration claim highlights the need for increased scrutiny and due diligence, particularly for those working with or considering Daniel W. Ladner or UBS Financial Services Inc. While a single claim does not determine guilt, it is always prudent to consult with an investment fraud attorney if you suspect poor account handling or negligent advice.
UBS Financial Services Inc. Advisors: Why Background Checks Matter
It is not uncommon for reputable firms to have individual brokers subject to customer disputes from time to time. However, thoroughly reviewing a broker’s FINRA BrokerCheck report provides investors with essential details about professional conduct and complaint history. For direct access to Daniel W. Ladner’s profile, visit BrokerCheck.
How Investors Can Respond to Losses & Suspicious Activity
If you have questions or concerns about how Daniel W. Ladner or any other UBS Financial Services advisor has managed your portfolio, you may be entitled to pursue a claim through FINRA arbitration. Haselkorn & Thibaut’s dedicated securities attorneys offer free consultations to review your case, explain your legal options, and help recover eligible investment losses. Remember:
- No recovery, no fee. Clients owe nothing unless compensation is recovered.
- The process is confidential, efficient, and widely used for resolving disputes with brokers and investment advisors.
Contact Haselkorn & Thibaut for a Free Case Evaluation
If you believe you have lost money due to unsuitable advice, unauthorized transactions, or poor account management by Daniel W. Ladner of UBS Financial Services Inc. in New York, NY—or you simply want the peace of mind that your accounts are being managed appropriately—take action now.
Call Haselkorn & Thibaut at 1-888-885-7162 for a complimentary, confidential consultation with an experienced investment fraud lawyer.
Your financial future is too important to leave unprotected. Even if your loss seems minor or you are unsure if you have a case, Haselkorn & Thibaut can help clarify your rights. With no upfront costs, you have nothing to lose and potentially much to gain by asking questions and securing an objective, expert review. Reach out today for the guidance you deserve.
