Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Lopez (Lopez), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on November 04, 2021.
Claimants allege their investments in Puerto Rico municipal bonds and closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.