Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Buchsbaum (Buchsbaum), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Buchsbaum recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 28, 2023.
Time frame: Early 2018 – September 2019 \, \, Allegations: Claimants allege unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.