RICARDO ALBERTO GONZALEZ 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.
RICARDO ALBERTO GONZALEZ has worked at UBS FINANCIAL SERVICES INC. since August 14, 2017
Disclosure History
RICARDO ALBERTO GONZALEZ has 1 Disclosure Event(s).
Date: September 24, 1999 Category: Customer Dispute Allegations: CLIENT RAISES MISREPRESENTATION AND SUITABILITY CONCERNS WITH REGARD TO THE PURCHASE OF CHASE MANHATTAN CORP NOTE. THE TIME PERIOD IS 3/99-PRESENT Damage Amount Requested: $8,309.00 Settlement Amount: $7,350.00 Broker Comment: CLIENT HAD A HISTORY OF UNDECISIVENESS AND CANCELING TRADES. AS BRANCH MANAGER, I SHOWED THE CLIENT SEVERAL BONDS WHILE HIS BROKER WAS IN TRAINING AT THE HOME OFFICE. CLIENT AUTHORIZED THE TRANSACTION AFTER THE BONDS WERE EXPLAINED TO HIM. SIX MONTHS AFTER THE TRADE THE CLIENT ALLEGED MISREPRESENTATION BECAUSE THESE WERE "NOTES" INSTEAD OF "BONDS" AND BECAUSE IT WAS AN INVESTMENT IN DEBT OF CHASE MANHATTAN CORP. INSTEAD OF CHASE MANHATTAN BANK. ALSO AFTER SIX MONTHS (AND AFTER THE MARKET WENT AGAINST HIM...) CLIENT WANTED TRANSACTION CANCELLED. I STRONGLY DENY ANY CLAIM OF MISREPRESENTATION OR SUITABILITY. I HAVE OVER TEN YEARS OF EXPERIENCE AS A BOND TRADER, AND THREE YEARS IN MANAGEMENT, AND I CATEGORIZE THIS CLAIM AS FRIVOLOUS. IN THE INTEREST OF CLIENT RELATIONS, THE PURCHASE WAS CANCELED AND ACCOUNT ADDITIONALLY CREDITED THE SUM OF $1,000.
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