Last Updated: May 2025 — New York, NY
Here’s what you need to know about New York, NY stockbroker Benjamin Joseph Segal:
- Name: Mr. Benjamin Joseph Segal
- Current Employer: UBS Financial Services Inc.
- Prior Employers: Prudential Securities Incorporated, Oppenheimer & Co., Inc., MFI Investments Corp., First Hanover Securities, Inc.
- Function: Stockbroker / Financial Advisor
- Primary Location: New York, NY
- CRD Number: 1727969
- Aliases: Ben Segal, Benjamin J. Segal
- Can Benjamin Segal be sued in FINRA arbitration: Yes
- Highest Settlement or Award: $25,000
If you’ve sustained damages from Mr. Segal, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Benjamin Segal As Your Stockbroker?
A customer of UBS Financial Services Inc. was paid $25,000 on July 31, 2024, to resolve allegations that Benjamin Segal did not provide individualized custom services and advice as represented in marketing materials. The complaint, involving private placements, alleged material financial damages occurred between May 5, 2022, and July 20, 2023.
Allegations of Broker Misconduct Against Benjamin Segal
A customer of UBS Financial has alleged the following wrongdoing in connection with the handling of customer accounts:
- Failure to provide customized advisory services as marketed.
- Misrepresentation related to private placement investments.
The Financial Industry Regulatory Authority (FINRA) mandates that brokers disclose all customer complaints and disputes. Under FINRA Rule 2010, brokers must observe high standards of commercial honor and just and equitable principles of trade, which is applicable in situations involving alleged misrepresentations and misleading marketing materials.
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other UBS Financial brokers
If you have suffered investment losses in an account handled by Benjamin Joseph Segal, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.