Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Francisco Landivar (Landivar), currently associated with UBS Financial Services Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Landivar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 06, 2024.
Time frame: Unspecified \, Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.
