Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: Ramon Manuel Almonte

Allegation type: Customer Dispute

Allegation status: Pending

The allegations read: Time frame: unspecified allegations: claimants allege that the recommendation to invest in and hold puerto rico closed-end funds was unsuitable and that their ubs account was over-concentrated in these investments. They also allege that the risks of investing in and concentrating in pr investments were misrepresented.

Back