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Fernando Gonzalez of UBS Financial Services Inc. And Formerly With UBS Financial Services Incorporated of Puerto Rico Has 6 Customer Complaints For Alleged Broker Misconduct

Who is Fernando Gonzalez UBS Financial Services Inc.?

Fernando Gonzalez (CRD #5452682) who is currently registered with UBS Financial Services Inc. and located in San Juan, Puerto Rico, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to UBS Financial Services Inc., Fernando Gonzalez was associated with UBS Financial Services Incorporated of Puerto Rico and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Fernando Gonzalez Customer Complaints

Fernando Gonzalez has been the subject of 6 customer complaints that we know about to recover investment losses.  Five of customer complaints were settled in favor of investors. There is currently Fernando Gonzalez’s 6 one pending customer complaint filed against Fernando Gonzalez’s former employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct.

Allegations Against Fernando Gonzalez

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unsuitable investment recommendations to invest in and hold Puerto Rico municipal bonds
  • Misrepresentation of the risk and overconcentration in Puerto Rico investments
  • Unsuitable investment recommendations of Puerto Rico closed-end bond funds
  • Overconcentration and misrepresentations in connection with the purchase of closed-end bond funds and Puerto Rico bonds
  • Misrepresentations of Puerto Rico closed-end bond funds as safe investments

Fernando Gonzalez Red Flags & Your Rights As An Investor

Of course, Fernando Gonzalez did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Fernando Gonzalez at UBS Financial Services Inc. and UBS Financial Services Incorporated of Puerto Rico on alert to review carefully the activity and performance of their accounts and question whether Fernando Gonzalez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. and UBS Financial Services Incorporated of Puerto Rico also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At UBS Financial Services Inc. Due To Fernando Gonzalez

If you have questions about UBS Financial Services Inc. and UBS Financial Services Incorporated of Puerto Rico and/or Fernando Gonzalez and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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