Articles Posted in Barry Schwartz

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Schwartz (Schwartz), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Schwartz recommended unsuitable investments in different investment products including debt securities among other…

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Barry Schwartz (Schwartz), currently associated with UBS Financial Services Inc. (UBS), has been subject to at least two customer complaints and one regulatory action during his career.  The most recent complaint against Schwartz alleged that Schwartz recommended…