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Vicente del Rio Of UBS Financial Services And Formerly With J.P. Morgan Securities Has A Customer Complaint For Alleged Broker Misconduct

Who is Vicente del Rio of UBS Financial Services?

Vicente del Rio (CRD #5820218) who is currently registered with UBS Financial Services and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Vicente del Rio was associated with J.P. Morgan Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Vicente del Rio Customer Complaint

Vicente del Rio has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were former client claimed registered representatives made unsuitable recommendations in connection with his trust account. Client filed a Florida state court action that was dismissed with prejudice. Client then filed a similar FINRA arbitration. The customer complaint filed against Vicente del Rio’s former employer J.P. Morgan Securities for investment losses caused by the alleged misconduct is pending as of the date of this report.

Vicente del Rio Red Flags & Your Rights As An Investor

Of course, Vicente del Rio 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 Vicente del Rio at UBS Financial Services and J.P. Morgan Securities on alert to review carefully the activity and performance of their accounts and question whether Vicente del Rio has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services and J.P. Morgan Securities 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.

File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Vicente del Rio

If you have questions about UBS Financial Services, J.P. Morgan Securities, and/or Vicente del Rio 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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