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Deborah Bauer is the Subject of an Investor Dispute

Deborah Bauer (CRD #: 1039606), a broker registered with UBS Financial Services, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on September 20, 2024. Keep reading if you have questions regarding her alleged conduct. 

Investor Allegations 

On July 30, 2024, investors alleged that Deborah Bauer recommended a sale of stock without a plan for the proceeds. This allegedly left the investor under-invested with excess liquidity. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Leaving an investor under-invested may violate this rule. 

Background Information 

Deborah Bauer has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 3 National Commodity Futures Examination 
  • Series 7 General Securities Representative Examination 

She is a registered broker in 24 states and is a registered investment adviser in Texas. 

Deborah Bauer has registered with the following firms: 

  • UBS Financial Services (CRD #: 8174) 
  • CitiGroup Global Markets (CRD #: 7059) 
  • Rotan Mosle (CRD #: 727) 
  • E.F. Hutton & Company (CRD #: 235) 

Kurta Law Can Help 

If you worked with Deborah Bauer and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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