DID BARRY ALLEN SCHWARTZ CAUSE YOU INVESTMENT LOSSES?
Barry Schwartz Of UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Barry Schwartz of UBS Financial Services Inc.?
Barry Schwartz (CRD #1022377) who is currently registered as a broker and investment adviser with UBS Financial Services Inc. and located in Miami, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Barry Schwartz was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Barry Schwartz Customer Complaints
Barry Schwartz has been the subject of 2 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Investment Management and Research in favor of the investor or Barry Schwartz’s alleged misconduct. The other customer complaints were recently filed as a FINRA arbitration proceeding against UBS Financial Services for the advisor’s alleged misconduct and is still pending.
Allegations Against Barry Schwartz
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Unsuitability in overconcentration of certain investments involving equities in alternative investments.
- Suitability, misrepresentations, and omission of facts related to the account.
Barry Schwartz Red Flags & Your Rights As An Investor
Of course, Barry Schwartz did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Barry Schwartz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Barry Schwartz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Barry Schwartz
If you have questions about UBS Financial Services Inc. and/or Barry Schwartz and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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