Erez Law is currently investigating UBS Financial Services Inc. broker Deborah Bauer (CRD# 1039606) regarding unsuitable investment recommendations. She has been registered with UBS Financial Services Inc. in Houston, Texas, since 2009.
Deborah Bauer Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
July 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.” The case is currently pending. The complaint was regarding equity losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, UBS Financial Services Inc. may be liable for investment or other losses suffered by Deborah Bauer’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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