Enrique Fernandez, of San Juan, Puerto Rico, a stockbroker formerly registered with UBS Financial Services Inc., has been named in eighteen customer initiated investment related disputes between April 16, 2014, and January 6, 2017, based upon allegations that Fernandez made omissions and misrepresentations to customers concerning the safety of investments in Puerto Rico municipal bonds and closed-end funds. The customers have additionally alleged that Fernandez over-concentrated the customers’ assets in these debt investments which were unsuitable as the closed-end funds exposed customers to substantial risk.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on June 24, 2003, a customer initiated investment related written complaint involving Fernandez’s conduct was settled for $25,000.00 in damages based upon allegations that Fernandez effected trades in the customer’s account on an excessive and unauthorized basis, and effected transactions which were very risky in the customer’s account.
Guiliano Law Group
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For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com.
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