Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Mendez Perez (Mendez Perez), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Mendez Perez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on May 15, 2024.
Time frame: Unspecified.\, Allegations: Claimant alleges the investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.