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FINRA Broker Allegations

Allegations against: Roberto Jose Fortuno

Allegation type: Customer Dispute

Allegation status: Withdrawn

The allegations read: Time frame: 2009-present 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.

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