FINRA Sales Practice Violations and Puerto Rico Investors Claims For Damages
Silver Law Group and Dimond Kaplan and Rothstein, PA represent Puerto Rico investors in Financial Regulatory Industry Authority (FINRA) arbitration claims and are currently investigating additional investor claims for violations of FINRA rules and regulations that resulted in investment losses in UBS Puerto Rico Closed-end Bond Funds and Puerto Rico Municipal Bonds. The current investigations relate to the sales practices of UBS Financial Services of Puerto Rico, Popular Securities and Santander Securities and their financial advisors concerning solicited investments in proprietary closed-end Puerto Rico municipal bond funds and Puerto Rico municipal bonds. The failure to comply with FINRA rules and regulations may result in a legal cause of action filed in a FINRA arbitration claim.
To learn more about UBS Financial Services of Puerto Rico, Popular Securities and Santander Securities, and its financial advisors’ allegations of FINRA sales practice rules violations and our current investigations refer to information below: