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Nicolas Barrios Formerly With UBS Financial Services Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Nicolas Barrios formerly with UBS Financial Services?

Nicolas Barrios (CRD #2122824) who was formerly registered with UBS Financial Services and located in Winter Haven, Florida is a subject of one of our many securities industry sales practice abuse investigations.

Nicolas Barrios was also the subject of a FINRA investigation into allegations that he mismanaged and committed fraud in customer’s account.  He allegedly failed to provide FINRA with the requested documents and information in connection with its investigation and was subsequently permanently barred from membership with any FINRA firm in any capacity.

Nicolas Barrios Customer Complaints

Nicolas Barrios has been the subject of 4 customer complaints that we know about. Three of Nicolas Barrios’ 4 customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by Nicolas Barrios’ alleged misconduct.

Allegations Against Nicolas Barrios

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

  • Florida resident writes that he should have been placed in safer investment allegedly by Nicolas Barrios.
  • The client’s beneficiaries allege Nicolas Barrios invested in risky stocks for her age. She further alleges the FA stated he took her money and traded it outside of UBS. She finally alleges the client did not authorize stock trades and thought her money was safe.

Nicolas Barrios Red Flags & Your Rights As An Investor

Of course, Nicolas Barrios 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 Nicolas Barrios at UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Nicolas Barrios has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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 Due To Nicolas Barrios

If you have questions about UBS Financial Services and/or Nicolas Barrios 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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