Daniel Ladner Allegedly Violated His Fiduciary Duty

Daniel Ladner (CRD #: 2932904), a broker registered with UBS Financial Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record accessed on October 26, 2025. Keep reading if you have questions regarding his alleged conduct.

Investor Allegations

On August 22, 2025, an investor alleged that Daniel Ladner breached his fiduciary duty and mishandled disclosures related to their accounts and a related securities-backed loan.

The investor further alleged that Daniel Ladner failed to follow instructions to liquidate investments in order to pay down the loan balance and persuaded her to deposit funds into her investment accounts for investments that were never purchased.

The investor is seeking $1,000,000.

Misrepresentation

FINRA Rule 2020 prohibits the use of manipulative or deceptive tactics to influence the purchase and sale of securities. Misrepresenting an investment’s risks, requirements, or other features violates this rule.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may violate this rule.

Background Information

Daniel Ladner has passed the following exams:

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination
• Series 10 General Securities Sales Supervisor – General Module Examination 
• Series 9 General Securities Sales Supervisor – Options Module Examination

He has registered with the following firms:

• UBS Financial Services (CRD #: 8174)
• Morgan Stanley & Co. (CRD #: 8209)
• Morgan Stanley (CRD #: 7556)

Kurta Law Can Help

If you worked with Daniel Ladner and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.