CARLOS ORTIZ is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO located at 250 MUNOZ RIVERA AVENUE, SAN JUAN, PR, 00918.
CARLOS ORTIZ has worked at UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO since June 03, 2003
Disclosure History
CARLOS ORTIZ has 1 Disclosure Event(s).
Date: October 10, 2012 Category: Customer Dispute Allegations: PLAINTIFFS ALLEGE THAT THE LIQUIDITY AND SECONDARY MARKET PRICES OF NON-EXCHANGE-TRADED CLOSED-END FUNDS ("CEFS"), UNDERWRITTEN, MARKETED AND SOLD BY UBS PR WERE MISREPRESENTED TO INDIVIDUALS WHO PURCHASED OR ACQUIRED THE FUNDS FROM UBS PR DURING THE PERIOD OF JANUARY 1, 2008 TO MAY 1, 2012. BY ORDER DATED OCTOBER 16, 2012, THE COURT CONSOLIDATED THIS MATTER WITH DOCKET NO. 12-1663. Damage Amount Requested: $10,000,000.00
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