Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pedro Martinez Parsi (Martinez Parsi), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinez Parsi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $483,000.00 on November 29, 2023.
Time frame: Unspecified.\, \, Allegations: Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.