Along with other brokers/financial advisors, Wilson Dennis Colberg Trio of UBS Financial Services Inc. of Puerto Rico, is currently being investigated over alleged sales of proprietary municipal and leveraged bond funds offered by UBS Puerto Rico, including the Puerto Rico Fixed Income Funds I through VI, Tax-Free Puerto Rico Funds I and II, and Tax-Free Puerto Rico Target Maturity Funds.
UBS Puerto Rico has agreed to pay $26 million to settle charges that it allegedly mispriced closed end funds. Wilson Trio of UBS Puerto Rico, and branch offices in San Juan, Guaynabo, Ponce, and Hato Rey are currently under investigation. These funds may not have been appropriate for the conservative investor, and it is highly inappropriate for a broker or financial advisor to recommend to their clients borrowing on margin or line of credit to purchase a leveraged fund.
If you purchased funds from Wilson Dennis Colberg Trio or another broker/financial advisor of UBS of Puerto Rico, or through UBS in the United States, please call (888) 760-6552 for a free consultation on how you may be able to recover your investment losses. Soreide Law Group is currently representing investors nationally and internationally against UBS.
Soreide Law Group has been contacted by an investor experiencing losses in GWG L Bonds, due to the alleged recommendation of broker/investment advisor, THOMAS CAINE SHULTZ (THOMAS SHULTZ, THOMAS C SHULTZ). Shultz is currently registered both as a broker and investment advisor with REALTA EQUITIES, INC of Phoenix, Arizona since 7/25/2023. He was previously registered with […]
Soreide Law Group is investigating potential investor claims involving TechCreate Group Ltd. (TCGL) stock, particularly whether brokers or financial advisors improperly recommended this security despite emerging warning signs. TCGL is a publicly traded foreign holding company whose shares were subject to an SEC trading suspension, raising serious concerns for investors. There is significant adverse regulatory […]
Investors might have sustained losses due to securities broker Bradley Owen Davidson [CRD: 5142256, Mission Viejo, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Davidson has been registered with Emerson Equity LLC since February 2, 2024, and previously worked for firms including Secure Asset Management LLC from February 22, […]
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