EDUARDO GONZALEZ 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.
EDUARDO GONZALEZ has worked at UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO since September 04, 2002
Disclosure History
EDUARDO GONZALEZ has 12 Disclosure Event(s).
Date: May 07, 2018 Category: Customer Dispute
Date: January 18, 2018 Category: Customer Dispute Allegations: Time frame: 2013-present Claimant alleges unsuitable investment recommendations regarding the purchase of a Puerto Rico municipal bond. Damage Amount Requested: $50,000.00
Date: December 28, 2017 Category: Customer Dispute Allegations: Time frame: 2011 - 2017 Claimant alleges that his investments in Puerto Rico municipal bonds and closed-end bond funds were unsuitable, over-concentrated and misrepresented as safe.
Date: December 05, 2017 Category: Customer Dispute Allegations: Time frame: 2013Claimant alleges her FA recommended an improper investment strategy and caused her to invest and hold a concentrated portfolio of closed-end Funds. Damage Amount Requested: $295,000.00
Date: September 20, 2017 Category: Customer Dispute Allegations: Time frame: Late 1990s/early 2000s to June 2017Claimant alleges his investments in Puerto Rico closed-end funds were unsuitable, overconcentrated,and misrepresented as safe investments. Damage Amount Requested: $189,993.00
Date: February 19, 2016 Category: Customer Dispute Allegations: Time frame:2013-PresentClaimants allege unsuitability, misrepresentation, and over-concentration in connection with Puerto Rico closed-end funds Damage Amount Requested: $1,027,945.87 Broker Comment: I was not the broker of record for any of the accounts investments. I only helped the executor liquidate the investments through the repurchase programs of the closed end funds. The executor acknowledged that I should have not been included in the claim.
Date: October 15, 2015 Category: Customer Dispute Allegations: Time frame:Unspecified-2014Claimants allege misrepresentations and overconcentration in connection with the recommendation of closed-end funds, municipal bonds, and equities. Damage Amount Requested: $2,679,216.88 Settlement Amount: $200,000.00
Date: September 16, 2015 Category: Customer Dispute Allegations: Time frame:Unspecified-2015Claimant alleges misrepresentations and overconcentration in connection with the recommendation of municipal bonds. Damage Amount Requested: $236,874.91
Date: November 13, 2014 Category: Customer Dispute Allegations: TIME FRAME: 2003-PRESENT.CLAIMANTS ALLEGE MISREPRESENTATIONS AND UNSUITABILITY CONCERNING THEIR INVESTMENTS IN CLOSED-ENDFUNDS. Damage Amount Requested: $24,465.00 Settlement Amount: $175,000.00
Date: October 15, 2014 Category: Customer Dispute Allegations: TIME FRAME: 2004-PRESENTCLAIMANTS ALLEGE MISREPRESENTATIONS AND UNSUITABILITY IN CONNECTION WITH THEIR PURCHASES OF CLOSED-END BOND FUNDS AND PREFERRED SHARES IN LOCAL FINANCIAL INSTITUTIONS. Damage Amount Requested: $1,078,230.00 Settlement Amount: $300,000.00 Broker Comment: I DENY ALL THE ALLEGATIONS.
Date: August 06, 2014 Category: Customer Dispute Allegations: CLAIMANT ALLEGES MISREPRESENTATION AND UNSUITABILITY IN CONNECTION WITH THE PURCHASE OF A CLOSED-END FUND. TIME FRAME: 2013 - PRESENT. Damage Amount Requested: $150,000.00
Date: May 29, 2014 Category: Customer Dispute Allegations: TIME FRAME: 2007-2013CLAIMANTS ALLEGE OVERCONCENTRATION, UNSUITABILITY, AND MISREPRESENTATIONS INVOLVING RECOMMENDATIONS OF CLOSED END FUNDS. Damage Amount Requested: $1,500,000.00 Settlement Amount: $262,500.00 Broker Comment: I DENY ALL ALLEGATIONS
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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