James Malcom Ugobono (CRD#4032530) and UBS FINANCIAL SERVICES INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against James Malcom Ugobono (CRD#4032530) regarding allegations made regarding the following:

Claim(s) Made Against James Malcom Ugobono:

Claim Date: 1/16/2020

“Time frame: Unspecified Claimants alleges the recommendations to invest in and hold Puerto Rico Closed-End Bond Funds and Puerto Rico Government Bonds were unsuitable and that his accounts were unsuitably over-concentrated in those investments. Claimant also alleges that the risk of concentration in Puerto Rico investments was misrepresented.”

This claim, as of this posting, is currently Settled with a claim amount of $500,000.00 .

The investor was paid $165,244.09 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for James Malcom Ugobono.

Were you a customer of James Malcom Ugobono?

If you were a client of James Malcom Ugobono and UBS FINANCIAL SERVICES INC. from SAN JUAN, PR and had a negative experience, we are interested in discussing the possibility of pursuing a claim on your behalf. Brokerage firms are responsible for overseeing the actions of their registered representatives and must ensure that their financial advisors comply with all relevant regulations and company policies. The brokerage firm may be held liable for any investment losses suffered by customers due to their failure to properly supervise their agents, such as James Malcom Ugobono. The Securities Lawyers at Halling & Cayo, S.C. have helped investors recover millions of dollars in the past.

The Securities Lawyers have recovered millions of dollars for investors across the United States and are currently investigating the possibility of representing individual or group investors who have suffered losses. If you were a customer of James Malcom Ugobono and UBS FINANCIAL SERVICES INC. and suffered investment losses, please contact the Securities Lawyers. We will only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It’s important to note that there may be time limits or statutes of limitations that apply to your claim, so it’s crucial to speak with an attorney as soon as possible.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.