DID LUIS ALBERTO GARCIA CAUSE YOU INVESTMENT LOSSES?
Luis Garcia Formerly With UBS Financial Services Inc. Has 57 Customer Complaints For Alleged Broker Misconduct
Who is Luis Garcia formerly with UBS Financial Services Inc.?
Luis Garcia (CRD #2295856) who was formerly registered with UBS Financial Services Inc. and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services Inc., Luis Garcia was associated with 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.
Luis Garcia Customer Complaints
Luis Garcia has been the subject of 57 customer complaints that we know about to recover investment losses. Fifty-two of the customer complaints resettled by UBS Financial Services in favor of the investors. Only one customer complaint was denied by the brokerage firm. The other four customer complaints are pending and FINRA arbitration proceedings.
Allegations Against Luis Garcia
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are all related to the offer and sale of Puerto Rico municipal bonds and Puerto Rico denominated closed-end bond funds. The allegations are generally for misrepresentations and omissions making statements made misleading. There are suitability allegations related to the overconcentration of one geographic area in customers’ accounts.
Luis Garcia Red Flags & Your Rights As An Investor
Of course, Luis Garcia 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 Luis Garcia at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Luis Garcia 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?
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 Luis Garcia
If you have questions about UBS Financial Services Inc. and/or Luis Garcia 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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