Bryon Leonel Reyes of Lafayette Louisiana a stockbroker formerly employed by UBS Financial Services Inc. has been discharged by the firm on April 26, 2018 supported by allegations that (1) Reyes failed to inform UBS about his outside business activities and investments after Reyes had already been reprimanded by the firm for his non-disclosures and (3) Reyes failed to accurately attest to UBS that he engaged in outside activities while under a plan of heightened supervision.

Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on October 3, 2016, a customer filed an investment related arbitration claim concerning Reyes’ conduct in which the customer sought $128,000.00 in damages based upon accusations that the customer received inappropriate recommendations about a limited liability company investment; the customer incurred losses from the LLC investment as a result of the bad advice. FINRA Arbitration No. 16-01400 (Oct. 3, 2016).

Reyes has been registered with Prospera Financial Services, Inc. since August 6, 2018.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer

Guiliano Law Group

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

Tags: , ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)

Website