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Douglas Ponczek: $200K Complaint Against UBS Advisor

A recent investor complaint against Aventura, Florida financial advisor Douglas Ponczek (CRD# 5843395) alleges that his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with UBS Financial Services.

Mr. Ponczek’s BrokerCheck report discloses one investor complaint. Filed in March 2024, it alleges that as a representative of UBS Financial Services, he “unsuitably recommended high-yield equities without discussing the risk to the underlying principal.” The pending complaint alleges damages of $200,000.

UBS Financial Services’ website describes Mr. Ponczek as a member of The Ponczek Group, a practice based in Florida. “Our mission is to provide quality strategies customized to your needs,” the website states. “Our goal is to be your primary source of financial advice. To this end, we concentrate our efforts on developing long-term relationships through a commitment to quality client service.”

Elsewhere, the website describes its approach to working with investors. “As your financial advocates, we ask the critical questions to learn all about you, your family, priorities and concerns,” it states. “At the end of the day, we understand that earning your confidence and trust requires integrity, prudence and accessibility.”

According to the Financial Industry Regulatory Authority, Douglas Ponczek holds 13 years of securities industry experience. Based in Aventura, Florida and Northbrook, Illinois, he has been registered as a broker and an investment advisor with UBS Financial Services since 2012. He was previously registered with Morgan Stanley in Aventura from 2010 until 2012. His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Futures Managed Funds Examination, or Series 31; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He holds 28 state licenses. (Information current as of April 21, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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