Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leslie Highley (Highley), previously associated with UBS Financial Services Incorporated of Puerto Rico, has at least one disclosable event. These events include one customer complaint, alleging that Highley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 22, 2023.
Time frame: Unspecified.\, \, Allegations: Claimants allege that the Financial Advisor mispresented the risks of Puerto Rico closed-end funds.