UBS Financial Services of Puerto Rico
FINRA Violations

Klayman & Toskes, PA and the Carlo Law Offices are currently investigating possible violations of Financial Regulatory Industry Authority (FINRA) rules and regulations that may have resulted in Puerto Rico investor losses in UBS Puerto Rico Family of Funds and Puerto Rico Municipal Bonds. The investigation on behalf of law firm clients involves possible sales practice violations by UBS Financial Services Incorporated of Puerto Rico and its financial advisors which may give rise to a FINRA arbitration claim for damages. The alleged FINRA sales practice violations by UBS Financial Services of Puerto Rico and its financial advisors that are currently under investigation can be found below.

• FINRA Sales Practice Violations
• Current Investigations

Why Pursue a FINRA Securities Arbitration Claim?

According to FINRA, unsuitable investment advice, securities concentration, failure to supervise the activities of financial advisors, and fraudulent misrepresentations and omissions of material facts that are the result of conflicts of interest are among the claims that are available to investors against UBS Financial Services of Puerto Rico and their financial advisors in a securities arbitration claim filed with FINRA.

Klayman & Toskes, PA and the Carlo Law Offices are dedicated to the rights of Puerto Rico investors. Our legal team can help you determine what steps can be taken to protect your investor rights. Puerto Rico investors who suffered losses as a result of FINRA sales practice violations committed by UBS Puerto Rico and its financial advisors may be able recover their losses in a FINRA arbitration claim.