DID XAVIER A. AGUAYO DIAZ CAUSE YOU INVESTMENT LOSSES?

Xavier Aguayo Diaz Of UBS Financial Services Inc. Has 9 Customer Complaints For Alleged Broker Misconduct

Who is Xavier Aguayo Diaz of UBS Financial Services Inc.?

Xavier Aguayo Diaz (CRD #2926408)

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Xavier Aguayo Diaz Customer Complaints

Xavier Aguayo Diaz has been the subject of 9 customer complaints that we know about to recover investment losses. Six of the customer complaints were settled by UBS Financial Services in favor of the investors. The other that 3 customer complaints were denied and, to date, no further action has been taken.

Allegations Against Xavier Aguayo Diaz

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses all relate to the offer and sale of Puerto Rico municipal bonds in Puerto Rico closed-end bond funds. The allegations are generally misrepresentations, unsuitable investment recommendations, overconcentration and excessive leverage.

Xavier Aguayo Diaz Red Flags & Your Rights As An Investor

Of course, Xavier Aguayo Diaz did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Xavier Aguayo Diaz at UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Xavier Aguayo Diaz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.