Did you suffer investment losses with UBS Financial Services Incorporated of Puerto Rico (CRD# 13042) (SEC# 8-28475)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with UBS Financial Services Incorporated of Puerto Rico. If you suffered losses investing with UBS Financial Services Incorporated of Puerto Rico, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
As of May 5, 2020, UBS Financial Services Incorporated of Puerto Rico’s FINRA BrokerCheck Report contains the following:
8 Regulatory Event Disclosures
42 Arbitration Disclosures
Main Office Location
250 MUNOZ RIVERA AVENUE
HATO REY, PR 00918
UNITED STATES
Mailing Address
1000 HARBOR BLVD
8TH FLOOR, COMPLIANCE DEPARTMENT
WEEHAWKEN, NJ 07086
UNITED STATES
Business Telephone Number
787-250-3681
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
UBS Financial Services Incorporated of Puerto Rico’s Direct Owners and Executive Officers
UBS FINANCIAL SERVICES INC. (CRD#:8174), OWNER
GONZALEZ, RICARDO ALBERTO JR (CRD#:1460620), DIRECTOR
GRAU BRULL, JOSE H (CRD#:2479941), CFO
MANZ, ALEXANDRE CYRIL (CRD#:5214595), GENERAL COUNSEL, EXECUTIVE DIRECTOR
SERRANO, RAUL (CRD#:6608747), CHIEF COMPLIANCE OFFICER
UBINAS TAYLOR, CARLOS VERNER (CRD#:1985568), CHAIRMAN, PRESIDENT
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Due Diligence Requirement
FINRA requires broker-dealers to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. FINRA Rule 2111(a) states that “a member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.”
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability. Broker-Dealers that fail to conduct adequate due diligence on investments they recommend or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with UBS Financial Services Incorporated of Puerto Rico and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
Formerly Known As, Aliases, and Affiliates
PAINE WEBBER JACKSON & CURTIS INCORPORATED OF PUERTO RICO, PAINEWEBBER INCORPORATED OF PUERTO RICO, UBS PAINEWEBBER INCORPORATED OF PUERTO RICO, PAINE WEBBER JACKSON & CURTIS INCORPORATED OF PUERTO RICO, PAINEWEBBER INCORPORATED OF PUERTO RICO, UBS PAINEWEBBER INCORPORATED OF PUERTO RICO
