Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Garcia Talavera (Garcia Talavera), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least 49 disclosable events. These events include 49 customer complaints, alleging that Garcia Talavera recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 20, 2020.
Time frame: Unspecified\<char_lb_r>\, \<char_lb_r>\, Allegations: Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.