Articles Tagged with Daniel Silverberg

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Silverberg (Silverberg), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Silverberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,127,695.79 on March 28, 2025.

Time frame:  2021-2024     \, \, Allegations: Claimant alleges he should have been advised to satisfy his securities backed loan balance in 2021. He further alleges his securities accounts were invested too aggressively resulting in large losses that impeded his ability to support the loan and continue investing.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Silverberg (Silverberg), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Silverberg recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on May 14, 2024.

Time Frame: October 01, 2021 to May 14, 2024\, \, What were the allegations against the individual? \, The client alleges the Financial Advisor assured that, through his management of the remaining funds in the account, he would generate more than sufficient funds to cover specific loan payments. The client further alleges the interest payable on the principal balance of the loan far exceeded the money being generated by investments selected by the Financial Advisor.