Neil Konigsberg: Pending Complaint Against UBS Rep

Neil KonigsbergPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based UBS Financial Services broker/adviser Neil Konigsberg has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Konigsberg (CRD# 1784265).

Neil Konigsberg has spent 30 years in the securities industry and has been registered with UBS Financial Services in San Francisco, California since 2008. Previous registrations include Lehman Brothers in San Francisco, California (2004-2008); Banc of America Investment Services in Boston, Massachusetts (2003-2004); Banc of America Securities in New York, New York (1999-2003); Merrill Lynch in New York, New York (1997-1999); The Boston Group in Los Angeles, California (1995-1997); AS Goldmen & Company in Red Bank, New Jersey (1994-1995); and Lehman Brothers in New York, New York (1987-1994). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 2, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1988; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on December 19, 1987. He is a registered broker and investment adviser with 12 US states: Arizona, California, Colorado, Connecticut, Florida, Illinois, Nevada, New Jersey, New York, Oregon, South Dakota, and Texas. He is registered with nine self-regulatory organizations (SROs): BOX Exchange LLC, Cboe Exchange, FINRA, NYSE American, NYSE Arca, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.

In January 2019 a customer alleged Neil Konigsberg, while employed at UBS Financial Services, did not manage the account according to the agreed-upon risk guidelines. The customer is seeking unspecified damages in the pending complaint.

In 2008 a customer alleged Neil Konigsberg, while employed at Lehman Brothers, misrepresented the nature and risk of associated with an unsuitable investment. The customer sought $200,000 in damages in the complaint, which was denied.

If you or someone you know has lost money investing with Neil Konigsberg, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.