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Juan E. Goytia Formerly With UBS Financial Services Inc. Has 88 Customer Complaints For Alleged Broker Misconduct

Who is Juan E. Goytia of UBS Financial Services Inc.?

Juan E. Goytia

Juan E. Goytia (CRD #4473937) who was formerly 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., Juan E. Goytia was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Juan E. Goytia Customer Complaints

Juan E. Goytia has been the subject of 88 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration resulted in an award in favor of the investor in excess of $4.2 million. Eighty-three of the other customer complaints were settled by UBS Financial Services in favor of the investors. Only two of the customer complaints were denied and the customers did not take any further action.

Allegations Against Juan E. Goytia

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 misrepresentation and overconcentration in Puerto Rico municipal bonds.
  • Unsuitable investment recommendations to purchase and hold Puerto Rico closed-end bond funds.
  • Misrepresentation of the risk of concentration in Puerto Rico investments.
  • Overconcentration in Puerto Rico investments.
  • Investments in Puerto Rico closed-end funds and other securities were unsuitable, overconcentrated and misrepresented as safe investments.
  • Risk of investing in Puerto Rico investments was misrepresentation.
  • Unsuitable investment recommendations and misrepresentations regarding municipal bonds

Juan E. Goytia Red Flags & Your Rights As An Investor

Of course, Juan E. Goytia 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 Juan E. Goytia at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Juan E. Goytia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s 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?

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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 UBS Financial Services Inc. Due To Juan E. Goytia

If you have questions about UBS Financial Services Inc. and/or Juan E. Goytia 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.

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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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