Greg Grajek Allegedly Misappropriated Funds

Greg Grajek (CRD #: 1220268), a previously registered broker with UBS Financial Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on December 1, 2025. Keep reading if you have questions regarding his alleged conduct.

Investor Allegations

On July 29, 2025, Greg Grajek’s ex-wife alleged that he converted joint accounts to his name only and that he misappropriated funds.

On March 15, 2017, investors alleged that accounts underperformed as a result of breached fiduciary duty and misrepresentations. The investors further alleged that he financially abused a dependent adult in relation to allegedly unsuitable investments in Unit Investment Trusts and mutual funds. The dispute was settled for $140,000.

Investors should know that there are four other investor disputes on his record.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Elder financial abuse and misappropriation violate this rule.

Background Information

Greg Grajek has passed the following exams:

• Series 10 General Securities Sales Supervisor – General Module Examination 
• Series 9 General Securities Sales Supervisor – Options Module Examination 
• Series 8 General Securities Sales Supervisor Examination (Options Module & General Module) 
• Series 66 Uniform Combined State Law Examination
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 3 National Commodity Futures Examination
• Series 5 Interest Rate Options Examination
• Series 15 Foreign Currency Options Examination
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination

He has registered with the following firms:

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

Kurta Law Can Help

If you worked with Greg Grajek 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.