Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roberto Dejesuspou (Dejesuspou), currently associated with UBS Financial Services Inc., has at least one disclosable event. These events include one customer complaint, alleging that Dejesuspou recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 15, 2024.
Time frame: unspecified\, allegations: claimant alleges her investments in a puerto rico closed-end fund were unsuitable, over-concentrated, and misrepresented as safe investments.