Last Updated: October 2025 — Paramus, NJ
Here’s what you need to know about Paramus, NJ stockbroker Ernie Kloock:
- Name: Ernie Walter Kloock.
- Current Employer: UBS Financial Services Inc., registered since 09/26/2014. Primary branch: 61 South Paramus Road, Mack Center IV, Paramus, NJ 07652.
- Prior Firms: Merrill Lynch, Pierce, Fenner & Smith Incorporated (2009–2014); Banc of America Investment Services, Inc. (2004–2009); Quick & Reilly, Inc. (2002–2004); Morgan Stanley DW Inc. (1998–2002).
- CRD number: 3114944.
- Stockbroker / Financial Advisor: Yes
- Can Broker be Sued in FINRA: Yes
- Highest Award or Settlement: $63,000
- Current Customer Dispute Seeks Total Damages of: $206,000
If you’ve sustained damages from Mr. Kloock, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Ernie W. Kloock As Your Stockbroker?
- Pending FINRA Arbitration (Case No. 23-01006): Filed May 2023, alleging that while at UBS Financial Services Inc. (time frame 2021–2023) the recommendations to purchase and overconcentrate in preferred stock were unsuitable, risks were not explained, and sell instructions were refused. Damages sought: $206,000.
- Settled FINRA Arbitration (Case No. 11-02971): Filed July 2011 involving activity at Banc of America Investment Services, Inc. and Merrill Lynch; allegations included negligence, misrepresentation, omission of material facts, breach of contract, and unsuitability related to a RiverSource variable annuity; matter settled September 25, 2012 for $63,000
Allegations of Broker Misconduct Against Ernie Walter Kloock
- Unsuitability
- Breach of Fiduciary Duty / Best-Interest Obligations
- Fraud / Misrepresentation or Omission of Material Facts
Recover Your Investment Losses Now With Rex Securities Law
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If you have suffered investment losses in an account handled by Ernie Walter Kloock, 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.