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William Serralles Of UBS Financial Services Inc. Has 14 Customer Complaints For Alleged Broker Misconduct

Who is William Serralles of UBS Financial Services Inc.?

William Serralles

William Serralles (CRD #2121621) who is currently registered as a broker and investment adviser 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., William Serralles was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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William Serralles Customer Complaints

William Serralles has been the subject of 14 customer complaints that we know about to recover investment losses. Twelve of the customer complaints were settled by UBS financial services in favor of the investors. The brokerage firm denied the other 2 customer complaints and no further action was taken.

Allegations Against William Serralles

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses all related to the offer and sale of Puerto Rico municipal bonds and closed-end bond funds. The allegations were overconcentration, misrepresentation, and unsuitable investment recommendations resulting in substantial damages.

William Serralles Red Flags & Your Rights As An Investor

Of course, William Serralles 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 William Serralles at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether William Serralles 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 William Serralles

If you have questions about UBS Financial Services Inc. and/or William Serralles 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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