WILLIAM JOSEPH GARITY MEDINA 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.
WILLIAM JOSEPH GARITY MEDINA has worked at UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO since February 06, 2002
Disclosure History
WILLIAM JOSEPH GARITY MEDINA has 8 Disclosure Event(s).
Date: May 08, 2018 Category: Customer Dispute
Date: January 09, 2018 Category: Customer Dispute Allegations: Time Frame: UnspecifiedClaimant alleges that investment recommendations in Puerto Rico closed End Funds, as well as individual Puerto Rico Bonds, were unsuitable, and that the risks of investing in these securities were not disclosed to him. Claimant also alleges that his account was over concentrated in these securities. Damage Amount Requested: $175,000.00
Date: December 01, 2017 Category: Customer Dispute Allegations: Time frame: Unspecified, but including 2013 Claimants allege that the recommendation to invest in proprietary closed-end Puerto Rico funds was unsuitable and that the risks of the Funds were not disclosed to them. They further allege that their accounts were over-concentrated in the Funds and that when they gave instructions to sell, the sales were improperly held up.
Date: January 26, 2016 Category: Customer Dispute Allegations: Time Frame: Jan. 2010 - PresentClaimants allege unsuitable recommendations and misrepresentations in connection with their purchases of Puerto Rico closed-end municipal bond funds. Damage Amount Requested: $112,180.13
Date: October 23, 2015 Category: Customer Dispute Allegations: Claimants allege unsuitable recommendations and misrepresentations in connection with their purchases of Puerto Rico closed-end municipal bond funds. Time Frame: 2005 through Present. Damage Amount Requested: $100,001.00 Settlement Amount: $87,696.00
Date: January 21, 2015 Category: Customer Dispute Allegations: TIME FRAME:UNSPECIFIEDCLAIMANT ALLEGES INVESTMENTS IN PUERTO RICO CLOSED-END FUNDS AND MUNICIPAL BONDS WERE UNSUITABLE, OVER-CONCENTRATED AND MISREPRESENTED AS SAFE INVESTMENTS. Damage Amount Requested: $700,000.00 Settlement Amount: $125,000.00
Date: March 26, 2014 Category: Customer Dispute Allegations: TIME FRAME: UNSPECIFIEDCLAIMANTS ALLEGE MATERIALLY MISLEADING INVESTMENT ADVICE RELATING TO CLOSED-END FUNDS. Damage Amount Requested: $4,582,401.48 Settlement Amount: $600,000.00
Date: July 10, 2013 Category: Customer Dispute Allegations: PRIOR TO 2009, FA RECOMMENDED UNSUITABLY HIGH CONCENTRATION IN CLOSED END FUNDS. Damage Amount Requested: $461,163.00 Settlement Amount: $40,000.00
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.
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