Goodman & Nekvasil P.A., May Recover Investor Losses on Puerto Rico Bonds and Closed-End Funds – Luis Rosario Licensed with UBS Financial Services, Inc.
From 2007 until 2014, Luis Rosario was licensed with UBS Financial Services, Inc. Luis Rosario is now licensed with Oppenheimer & Co. Inc. FINRA reports that six arbitration claims were filed involving Luis Rosario’s conduct with UBS Financial Services, Inc. alleging unsuitable investments, overconcentration, and/or misrepresentations in connection with the sale of Puerto Rico Bonds and/or closed-end funds. These six arbitration claims all settled, with the three largest claims settling for $650,000, $300,000, and $265,000.
FINRA also reports seven pending arbitration claims involving Luis Rosario’s conduct with UBS Financial Services, Inc. These claims allege unsuitable recommendations, misrepresentations, overconcentration, and/or unauthorized trading involving recommendations and purchases of Puerto Rico Bonds and/or closed-end funds. The largest of these arbitration claims seeks between $1,000,000 and $5,000,000.
If you lost any money on Puerto Rico Bonds and/or closed-end funds with Luis Rosario, you may be able to recover your losses from UBS Financial Services, Inc. and/or Oppenheimer & Co. Inc. This is because UBS Financial Services, Inc. and Oppenheimer & Co. Inc. had a duty to supervise Luis Rosario.
If you lost money on Puerto Rico Bonds and/or closed-end funds with Luis Rosario 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 Oppenheimer & Co. Inc. concerning Luis Rosario’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 and/or closed-end funds with Luis Rosario 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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