DID ROSA MARIA FERNANDEZ CAUSE YOU INVESTMENT LOSSES?
Rosa Fernandez Formerly With UBS Financial Services Incorporated of Puerto Rico Has 44 Customer Complaints For Alleged Broker Misconduct
Who is Rosa Fernandez formerly with UBS Financial Services Incorporated of Puerto Rico?
Rosa Fernandez (CRD #1419069) who was formerly registered with UBS Financial Services Incorporated of Puerto Rico and located in San Juan, Puerto Rico, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Incorporated of Puerto Rico, Rosa Fernandez was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Rosa Fernandez Customer Complaints
Rosa Fernandez has been the subject of 44 customer complaints that we know about seeking to recover investment losses. Forty-three of the customer complaints were settled by Rosa Fernandez’s former employer in favor of the investors. The only other customer complaint is still pending.
Allegations Against Rosa Fernandez
The allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses were all related to the offer and sale of Puerto Rico municipal bonds and closed-end funds. The allegations generally were unsuitable investment recommendations, misrepresentations, material omissions of facts related to the investments, overconcentration, etc.
Rosa Fernandez Red Flags & Your Rights As An Investor
Of course, Rosa Fernandez did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Rosa Fernandez at UBS Financial Services Incorporated of Puerto Rico on alert to review carefully the activity and performance of their accounts and question whether Rosa Fernandez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Incorporated of Puerto Rico also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.