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Broker Barry Schwartz Receives Customer Complaint Over $1 Million Loss

Brian Levin | 2.1.2024

Did you invest with Barry Schwartz (CRD# 1022377) and were a victim of investment losses due to his recommendations? Schwartz has been a registered investment advisor with UBS Financial Services Inc. in Miami, Florida for over a decade. 

Broker at UBS Financial Services Inc., Barry Schwartz Faces Complaint

Barry Schwartz is facing his second customer complaint of his career and the first since 1997. The customer is seeking $1 million in damages claiming unsuitability and overconcentration of investments that resulted in losses of principal along with a few other complaints. The investments were in equities and a few other alternative investments. The customer’s case is currently pending. 

Under normal FINRA rules, UBS Financial Services could be found liable for investment or other losses suffered by Barry Schwartz’s customers. Member firms are responsible for supervising a broker’s activities while the broker is registered with the firm. 

Reach Out To Levin Law For Help With Stockbroker Misconduct And Mishandling Of Investments

If you invested with Barry Schwartz at UBS Financial Services Inc. or any other stockbroker and believe you are the victim of misconduct or suffered unwarranted investment losses, please reach out to Levin Law.

For more information on stockbroker misconduct and what that might entail, visit Stockbroker Misconduct.

About Levin Law

Levin Law is a premier national cryptocurrency, securities, commodities, futures, and class action law firm. Brian Levin, Levin Law’s founding attorney, has helped recover in excess of $150,000,000 through arbitration and litigation for individual and institutional investors throughout the country and the rest of the world. Levin Law represents retirees, individual investors, high-net-worth investors, ultra-high-net-worth investors, institutions, family offices, trusts, publicly held companies, and others.

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