Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Diana Jimenez Nettleship (Jimenez Nettleship), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Jimenez Nettleship recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on June 12, 2024.
Time frame: Unspecified.\, Allegations: Claimants allege that the recommendation to invest in and hold Puerto Rico closed-end funds and bonds was unsuitable and that their UBS accounts were over-concentrated in these investments. They also allege that the risks of investing in and concentrating in PR investments were misrepresented.