JUAN ANGEL PEREZ is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 250 MUNOZ RIVERA AVENUE, SAN JUAN, PR, 00918.
JUAN ANGEL PEREZ has worked at UBS FINANCIAL SERVICES INC. since February 07, 1991
Disclosure History
JUAN ANGEL PEREZ has 21 Disclosure Event(s).
Date: April 25, 2018 Category: Customer Dispute Allegations: Time frame: 2012 - 2013Claimants allege that their investments in Puerto Rico closed-end funds, bonds and preferred shares in Doral Financial were unsuitable, over concentrated and misrepresented as safe investments. Damage Amount Requested: $1,300,000.00 Broker Comment: "I deny all allegation"
Date: January 25, 2018 Category: Customer Dispute Allegations: Time frame: 2011 - 2017Claimants allege that their investments in Puerto Rico municipal bonds were unsuitable, over-concentrated and misrepresented as safe investments Damage Amount Requested: $275,000.00
Date: June 26, 2017 Category: Customer Dispute Allegations: Time frame: January 2011 to 2017Claimants allege that their investments in Puerto Rico municipal bonds and Puerto Rico municipal bond closed-end funds were unsuitable, over concentrated and misrepresented assafe investments. Damage Amount Requested: $2,000,000.00
Date: January 06, 2017 Category: Customer Dispute Allegations: Time frame: UnspecifiedClaimant alleges that her investments in Puerto Rican closed-end bond funds were unsuitable, over concentrated and misrepresented as safe investments. Damage Amount Requested: $314,000.00 Settlement Amount: $130,596.00 Broker Comment: I deny all allegations.
Date: December 23, 2016 Category: Customer Dispute Allegations: Time frame: December 16, 2010 to PresentClaimant alleges that her investments in Puerto Rico closed-end bond funds were unsuitable, over concentrated and misrepresented as safe investments. Damage Amount Requested: $23,371.88 Settlement Amount: $10,000.00
Date: September 28, 2016 Category: Customer Dispute Allegations: Time frame: 2008-2013Claimants allege that FA recklessly recommended an unsuitable concentration in high risk and unsuitable closed-end funds. Damage Amount Requested: $631,616.00 Settlement Amount: $291,000.00
Date: February 26, 2016 Category: Customer Dispute Allegations: Claimant alleges unsuitability, overconcentration, and misrepresentations involving the recommendation of a Puerto Rico closed-end funds. Time frame: Not Stated. Damage Amount Requested: $84,956.43
Date: February 11, 2016 Category: Customer Dispute Allegations: Time Frame:2008 through PresentClaimant alleges unsuitable recommendations, over-concentration and misrepresentations in connection with his purchase of closed-end funds and Puerto Rico bonds. Damage Amount Requested: $1,500,000.00 Settlement Amount: $300,000.00 Broker Comment: FA denies all allegations.
Date: October 07, 2015 Category: Customer Dispute Allegations: Time frame? Not statedClaimant alleges unsuitability, overconcentration, and misrepresentations involving the recommendation of a Puerto Rico closed-end fund. Damage Amount Requested: $1,000,000.00 Settlement Amount: $175,000.00 15-02554
Date: September 03, 2015 Category: Customer Dispute Allegations: Claimant alleges unsuitability, overconcentration, and misrepresentations involving the recommendation of closed-end funds. Time Frame: Not stated. Damage Amount Requested: $735,750.00 Broker Comment: I deny all allegations.
Date: August 21, 2015 Category: Customer Dispute Allegations: Time Frame: 2012 to 2015. The client alleges that he was told the principal and the paid interested were guaranteed for the Puerto Rico Bonds. Client stated he would not have purchased if he had been told there was no guarantee. Broker Comment: I deny all allegations.
Date: July 08, 2015 Category: Customer Dispute Allegations: TIME FRAME - 2008 - 2015CLIENT ALLEGES SUITABILITY, OVERCONCENTRATION AND MISREPRESENTATION IN REFERENCE TO INVESTMENTS IN CLOSED END FUNDS. Damage Amount Requested: $800,000.00 Broker Comment: I DENY ALL ALLEGATIONS.
Date: December 02, 2014 Category: Customer Dispute Allegations: TIME FRAME: UNSPECIFIEDCLAIMANT ALLEGES THE FA RECOMMENDED AN UNSUITABLY HIGH CONCENTRATION OF CLOSED-END FUNDS AND PREFERRED STOCK AND FAILED TO DISCLOSE THE RISKS. Damage Amount Requested: $200,000.00 Settlement Amount: $59,985.00 Broker Comment: I DENY ALL ALLEGATIONS
Date: October 29, 2014 Category: Customer Dispute Allegations: TIME FRAME: UNSPECIFIEDCLAIMANT ALLEGES THAT FA RECOMMENDED UNSUITABLY HIGH CONCENTRATION OF CLOSED-END FUNDS AND FAILED TO DISCLOSE THE RISKS. Damage Amount Requested: $100,000.00 Settlement Amount: $30,000.00 Broker Comment: I DENY ALL ALLEGATIONS.
Date: October 22, 2014 Category: Customer Dispute Allegations: TIME FRAME: UNSPECIFIEDCLAIMANTS ALLEGE THAT FA RECOMMENDED UNSUITABLY HIGH CONCENTRATION OF CLOSED-END FUNDS AND FAILED TO DISCLOSE THE RISKS. Damage Amount Requested: $64,600.00 Settlement Amount: $36,000.00
Date: October 13, 2014 Category: Customer Dispute Allegations: TIME FRAME: UNSPECIFIEDCLAIMANTS ALLEGE FA MADE UNSUITABLE RECOMMENDATIONS OF CLSOED END FUNDS AND FAILED TO DISCLOSE THE RISKS OF THE INVESTMENTS. Damage Amount Requested: $826,360.00 Settlement Amount: $350,000.00
Date: October 03, 2014 Category: Customer Dispute Allegations: TIME FRAME: UNSPECIFEDCLAIMANTS ALLEGE THAT RECOMMENDATIONS OF CLOSED-END FUNDS WERE UNSUITABLE. Damage Amount Requested: $270,203.00 Settlement Amount: $95,000.00
Date: June 20, 2014 Category: Customer Dispute Allegations: TIME FRAME: UNSPECIFIEDCLAIMANTS ALLEGE THAT FA "RECOMMENDED A RECKLESS AND UNSUITABLE CONCENTRATION IN HIGH RISK" CLOSED-END FUNDS. Damage Amount Requested: $262,000.00 Settlement Amount: $95,000.00
Date: June 16, 2014 Category: Customer Dispute Allegations: TIME FRAME: UNSPECIFIEDCLAIMANT ALLEGES THAT THE FA RECOMMENDED A "RECKLESS AND UNSUITABLE CONCENTRATION" IN "HIGH RISK" CLOSED-END FUNDS. Damage Amount Requested: $216,177.00 Settlement Amount: $67,500.00 Broker Comment: I DENY ALL THE ALLEGATIONS.
Date: March 21, 2014 Category: Customer Dispute Allegations: TIME FRAME: 2008-PRESENTCLAIMANT ALLEGES THAT FA RECOMMENDED "RECKLESS AND UNSUITABLE CONCENTRATION" IN "HIGH RISK" CLOSED-END FUNDS. Damage Amount Requested: $299,620.00 Settlement Amount: $130,000.00 Broker Comment: I DENY ALL ALLEGATIONS
Date: September 27, 2013 Category: Customer Dispute Allegations: TIME FRAME: 2013CLIENT ALLEGES THAT INVESTMENT IS A STRUCTURED TRANSACTION THAT ENTAILS SOME RISKS NOT COMPATIBLE WITH HIS PROFILE AS AN INVESTOR. DAMAGES ESTIMATED TO BE GREATER THAN $5,000. Settlement Amount: $95,000.00 Broker Comment: I ADVISED THE CLIENT AGAINST PURCHASING THE SECURITIES, YET THE CLIENT ULTIMATELY PLACE THE UNSOLICITED TRADE WITH THE FIRM. THE CLIENT ALSO MADE SIMILAR PURCHASES AT OTHER FIRMS INCLUDING SANTANDER SECURITIES AND POPULAR SECURITIES.
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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