KAREN VARGAS 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.
KAREN VARGAS has worked at UBS FINANCIAL SERVICES INC. since June 15, 2000
Disclosure History
KAREN VARGAS has 2 Disclosure Event(s).
Date: November 20, 2015 Category: Customer Dispute Allegations: Time Frame: 2010-2014Claimant alleges unsuitable recommendations and misrepresentations regarding municipal bonds and closed end funds. Settlement Amount: $950,000.00 Broker Comment: I deny all allegations. All investment proposals were designed by the Financial Advisors, which I was never part of. I have been incorrectly included in this claim. I will seek all remedies available to clear my name.
Date: July 31, 2014 Category: Customer Dispute Allegations: TIME FRAME:2012-2013CLAIMANTS ALLEGE UNSUITABLE RECOMMENDATIONS AND MISREPRESENTATIONS INVOLVING PUERTO RICOCLOSED END BONDS FUNDS. Damage Amount Requested: $350,000.00 Settlement Amount: $60,000.00 Broker Comment: I DENY ALL ALLEGATIONS.
More Information
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