Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Tomassini (Tomassini), currently associated with UBS Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Tomassini recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 10, 2023.
Time frame: Unspecified\, \, Allegations: Claimant alleges his investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.