Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Freire (Freire), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Freire recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on August 09, 2024.
Time frame: Unspecified.\, Allegations: Claimant alleges the investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.
