Julian Howard Gingold of New York New York a stockbroker formerly registered with UBS Financial Services is the subject of a customer initiated investment related written complaint on February 25, 2019 where the customer sought more than $5,000.00 in damages founded on allegations that a fiduciary duty that was owed to the customer had been breached as it pertained to over-the-counter equities transactions during the time that Gingold was associated with UBS Financial Services. The complaint alleges that unauthorized trades were executed in the customer’s account by Gingold between 2008 and 2018.
Gingold was discharged by UBS Financial Services Inc. on April 23, 2018 based upon accusations that he mismarked trades in customer accounts and had neglected to inform the securities broker dealer about a customer initiated investment related complaint. UBS Financial Services also alleged that Gingold did not obtain authorization for his responsibilities associated with charitable board positions. He also allegedly provided inconsistent responses to the securities broker dealer during its internal review.
Gingold was registered with UBS Financial Services between November 10, 2006 and May 10, 2018.