There are options for clients of UBS Financial Services Inc. broker Patrick Ponczek (CRD# 5843395) who suffered investment losses. He has been registered with UBS Financial Services Inc. in Hallandale Beach, Florida, since 2012.
Patrick Ponczek Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
March 2024. “Time frame: 2017-2023 Allegations: Claimant alleges the Financial Advisor unsuitably recommended high-yield equities without discussing the risk to the underlying principal.” The customer is seeking $200,000 in damages, and the case is currently pending. The complaint was regarding equities losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, UBS Financial Services Inc. may be liable for investment or other losses suffered by Patrick Ponczek’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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