Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Deborah Bauer (Bauer), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Bauer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 30, 2024.
Time frame: 2020\, Claimants allege unsuitability in that the financial advisor recommended and processed the sale of stock without a plan for the funds post-sale, leaving the claimants under-invested with excess liquidity.