Goodman & Nekvasil P.A., May Recover Investor Losses on Puerto Rico Bonds and Closed-End Funds – Jose Alberto Castillo (Jose Castillo) Formerly Licensed with UBS Financial Services, Inc.
Jose Castillo was licensed with UBS Financial Services, Inc. from 2008 to 2014. Jose Castillo was subsequently licensed with Aegis Capital Corp. FINRA reports that an arbitration claim was filed involving Jose Castillo’s conduct with UBS Financial Services, Inc., alleging investments in Puerto Rican closed-end bond funds and municipal bonds were unsuitable, overconcentrated and misrepresented as safe investments. This arbitration claim settled for $308,000.
FINRA reports that an arbitration claim involving Jose Castillo’s conduct with UBS Financial Services, Inc. is currently pending. This arbitration claim alleges unsuitable recommendations, over-concentration and misrepresentations in connection with the purchase of closed-end funds.
If you lost any money on Puerto Rico bonds or closed-end funds with Jose Castillo, you may be able to recover your losses from UBS Financial Services, Inc. and/or Aegis Capital Corp. This is because UBS Financial Services, Inc. and Aegis Capital Corp. had a duty to supervise Jose Castillo.
If you lost money on Puerto Rico bonds or closed-end funds with Jose Castillo and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against UBS Financial Services, Inc. and/or Aegis Capital Corp. concerning Jose Castillo’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on Puerto Rico bonds or closed-end funds with Jose Castillo and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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