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Broker Misconduct Investigation: Deborah Bauer (UBS Financial Services)

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Updated on: January 21, 2025

National investment loss lawyers KlaymanToskes is investigating broker Deborah Bauer (CRD #1039606) of UBS Financial Services Inc.

According to FINRA BrokerCheck, Deborah Bauer of UBS Financial Services Inc. is currently facing a pending customer complaint alleging damages between $1,000,000 and $5,000,000. The complaint alleges unsuitability regarding the sale of stock without a post-sale investment plan, which allegedly left clients under-invested with excess liquidity.

Investors that suffered losses with broker Deborah Bauer are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.

UBS Broker Deborah Bauer Faces Investor Complaint 

Financial advisor Deborah Bauer of UBS Financial Services is currently involved in a customer complaint alleging between $1,000,000 and $5,000,000 in investor damages. The customers allege unsuitability in that the financial advisor recommended and processed the sale of stock without a plan for the funds post-sale, leaving the customers under-invested with excess liquidity. 

Investment Losses with Broker Deborah Bauer?

Investment Losses with Broker Deborah Bauer?

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Signs Investors Should Look Out For About Their Brokerage Accounts

As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:

  • You have substantial losses in your investment accounts
  • You received a call, email, or other communication from your broker’s supervisor or manager regarding your portfolio
  • Your broker misrepresented investment opportunities, or failed to disclose details about investments
  • You notice unauthorized transactions in your investment accounts
  • Your broker is not returning your calls or emails
  • You filed a complaint with your brokerage firm that has not been resolved
  • You see a mistake on your statement, or receive a fraudulent statement

Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.

Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.

If you suffered losses with broker Deborah Bauer, or have concerns regarding your investment portfolio at UBS Financial Services Inc, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.