Henry Nathan Goodman of New York, New York, a stockbroker associated with UBS Financial Services, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $225,000.00 in damages based upon allegations that Goodman made unsuitable recommendations and misrepresented information about an options overlay strategy when Goodman was associated with UBS Financial Services. FINRA Arbitration No. 20-03356 (July 7, 2022).
FINRA Public Disclosure shows that Goodman was also referenced in a customer initiated investment related complaint filed on June 6, 2019, in which the customer requested $6,000,000.00 in damages. The complaint alleged misrepresentation and unsuitable advice regarding an options overlay strategy at UBS Financial Services. The complaint was withdrawn on August 22, 2022.
Goodman was associated with UBS Financial Services in New York, New York from April 29, 2016, to June 12, 2020.