Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Uliambre (Uliambre), previously associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Uliambre 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 $25,000.00 on February 05, 2024.
Time Frame: March 4th, 2019 to January 23rd, 2020\, \, What were the allegations against the individual? The client alleges that she loaned her Financial Advisor $25,000.00 four years ago and she has not recovered her money.