| Read Time: 2 minutes | Nationwide Planning Complaints | UBS Financial Services Complaints |

DID JOSE ARTURO RAMOS RIOS CAUSE YOU INVESTMENT LOSSES?

Jose Rios Of Nationwide Planning Associates Inc. And Formerly With Popular Securities, LLC Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Jose Rios of Nationwide Planning Associates Inc.?

Jose Rios

Jose Rios (CRD #4159163) who is currently registered with Nationwide Planning Associates Inc. and located in Hato Rey, Puerto Rico, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Nationwide Planning Associates Inc., Jose Rios was associated with Popular Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Jose Rios Customer Complaints

Jose Rios has been the subject of 4 customer complaints that we know about to recover investment losses. One of the customer complaints proceeded to arbitration resulted in an arbitration award in favor of the customer in the amount of $6.8 million. The other 3 customer complaints were settled by Popular Securities and UBS Financial Services in favor of the investors.

Allegations Against Jose Rios

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 and misrepresentations related to investment strategy and holdings in certain Puerto Rico investments particularly Puerto Rico closed-end funds.
  • Misrepresentation of Puerto Rico closed-end funds.
  • Unsuitable recommendations to purchase and hold Puerto Rico securities.

Jose Rio Red Flags & Your Rights As An Investor

Of course, Jose Rios 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 Jose Rios at Nationwide Planning Associates Inc. and Popular Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Jose Rios has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Nationwide Planning Associates Inc. and Popular Securities, LLC 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.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Nationwide Planning Associates Inc. Due To Jose Rios

If you have questions about Nationwide Planning Associates Inc., Popular Securities, LLC and/or Jose Rios 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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...