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Broker Matthew Buchsbaum Faces Investor Complaints

UBS Financial Services Inc.’s broker Matthew Buchsbaum (CRD# 2220565) is facing a number of complaints from customers who are alleging that he misrepresented and sold unsuitable investments to them. Six complaints have been filed in FINRA arbitration since March 2019.  The complaints center around an investment strategy involving options.  

Buchsbaum has been registered with UBS Financial Services Inc. at its Stamford, CT and New York, NY branches since November 2015.  FINRA BrokerCheck records show a total of 9 regulatory disclosures for Buchsbaum, 6 of which are currently pending customer disputes:

  • The pending complaints claim Buchsbaum engaged in various forms of investment misconduct, including unsuitability, misrepresentation regarding an options overlay strategy, and excessive trading.
  • All customer complaints currently pending against Buchsbaum concern alleged misconduct between 2016 and 2018, when Buchsbaum was employed by UBS Financial Services.

Lose Money with Matthew Buchsbaum or UBS? Call Meyer Wilson: (614) 532-4576

If you suffered financial losses as a result of investing with Matthew Buchsbaum, Meyer Wilson wants to hear from you. Our investment misconduct team is evaluating potential claims and can help you better understand your rights and options. Contact us to speak with an attorney.

The information contained in The Firm’s posts on its blog, fraud alerts, investigations or elsewhere on the site is based upon information obtained from other sources including, but not limited to, news outlets and federal, state, and regulatory agency filings. All suspects and subjects of postings herein are presumed innocent until proven guilty in a court of law or administrative action and any and all crimes are alleged until a court or regulatory agency finds otherwise .

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