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Henry Goodman Formerly With UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Henry Goodman Formerly With UBS Financial Services Inc.?

Henry Goodman (CRD #1789359) who was formerly registered with UBS Financial Services Inc. and located in New York New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Henry Goodman was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Henry Goodman Customer Complaints

Henry Goodman has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by UBS Financial Services in favor of the investor. The other customer complaint remains pending in a FINRA arbitration proceeding.

Allegations Against Henry Goodman

The allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses relate to unsuitable investment recommendations and misrepresentations about and options overlay strategy investment known as “YES,” the Yield Enhancement Strategy.

Henry Goodman Red Flags & Your Rights As An Investor

Of course, Henry Goodman 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 Henry Goodman formerly with UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Henry Goodman 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.

File A Claim To Recover Your Investment Losses at UBS Financial Services Inc. Due to Henry Goodman

If you have questions about UBS Financial Services Inc. and/or Henry Goodman 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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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