DANIEL JOSEPH GURIAN is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at ONE POST OFFICE SQUARE, BOSTON, MA, 02109.
DANIEL JOSEPH GURIAN has worked at UBS FINANCIAL SERVICES INC. since August 03, 2001
Disclosure History
DANIEL JOSEPH GURIAN has 2 Disclosure Event(s).
Date: January 16, 2013 Category: Customer Dispute Allegations: TIME FRAME: JULY 30, 2008 - JANUARY 16, 2013.COUNSEL ALLEGES THE RISKS ASSOCIATED WITH LEHMAN BROTHERS WERE NEVER DISCLOSED TO THE CLIENT. COUNSEL FURTHER ALLEGES CLIENT WAS FALSELY ASSURED THE INVESTMENT WAS IDEAL FOR INVESTORS WITH CONSERVATIVE INVESTMENT OBJECTIVES AND RISK TOLERANCE, WITH A FOCUS ON PRESERVATION OF CAPITAL. Damage Amount Requested: $47,616.00 Settlement Amount: $9,500.00 Broker Comment: THIS INVESTMENT WAS SUITABLE AND PRESENTED PROPERLY TO THE CLIENT AT THE TIME OF PURCHASE AND ONLY BECAME AN ISSUE DUE TO THE UNFORESEEABLE BANKRUPTCY OF LEHMAN BROTHERS.
Date: August 25, 2010 Category: Customer Dispute Allegations: TIME FRAME: FEBRUARY 1, 2005 - AUGUST 20, 2010. CLIENT'S ALLEGE THE INAPPROPRIATE ALLOCATION OF THEIR FUNDS AS WELL AS THE INAPPROPRIATE INVESTMENT VEHICLES THOSE FUNDS WERE INVESTED WITHIN DUE TO THEIR AGE AND INVESTMENT OBJECTIVES. THE ALLEGED DAMAGES ARE ESTIMATED TO BE IN EXCESS OF $5,000. Damage Amount Requested: $5,000.00
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for DANIEL JOSEPH GURIAN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.