PERIOD 2006. Alleges Misrepresentations and omissions, breach of fid duty, breach of contract,unsuitable investment recommendations, fraud, negligence

$550,000.00

$65,000.00

PERIOD 2004 TO 2015. Alleges misrepresentations and omissions, breach of fid duty, breach of contract,unsuitable investment recommendations, fraud, negligence

$200,000.00

$25,000.00

PERIOD 2003-2010. ALLEGES MISREPRESETNATION, OMISSIONS, INAPPROPIATE INVESTMENT STRATEGY,FRAUD, BREACHES OF FID DUTY, NEGLIGENCE.

$250,000.00

$33,000.00

PERIOD 2004-2013. Alleges Misrepresentations and omissions, breach of fid duty, breach of contract, unsuitable investment recommendations, fraud, negligence

$265,000.00

$40,000.00

PERIOD 2003-2016.Alleges misrepresentations and omissions, breach of fid duty, breach of contract, unsuitable investment recommendations, fraud, negligence, overconcentration

$3,250,000.00

$100,000.00

PERIOD 2012-2016. Alleges Reckless recommendation and unsuitable concentration in PR bonds, PR CEF and PR open end funds. Breach of fid duty, fraud, breach of contract

$5,000,000.00

$185,000.00

PERIOD 2010-2016.Alleges Reckless recommendation and unsuitable concentration in PR bonds, PR CEF and PR open end funds. Breach of fid duty, fraud,breach of contract. Claim damages $1-5mm

$2,500,000.00

$140,000.00

PERIOD 2003-2011. Alleged Geographically concentrated andh high risk portfolio of PR Securiities, misrepresentation, unsuitabile. Constiute fraud, breach of fid duty,negligence.

$95,000.00

$25,000.00

PERIOD 2007-2016.Misrepresentations and omissions, breach of fid duty, breach of contract, unsuitable investment recommendations, fraud, negligence

$7,200,000.00

$25,000.00

PERIOD 2008-2013. Alleges Misrepresentation,inappropriate and concentrated investment strategy constiute fraud,breach of fid duty,negligence in deceased mother's acct.

$401,000.00

$185,000.00

[REDACTED] HAD A POWER OF ATTORNEY IN MOTHER'S ACCT

TIME FRAME-2007-2011.Alleges misrepresentation and omissions, breach of fid duty, breach of contract, unsuitable investment recommendations, failure to supervise, fraud,negligence

$420,000.00

$77,500.00

CLIENT ALLEGES CONCENTRATION IN PR INVESTMENTS, UNSUITABLE,FAIL TO DISCUSS,BREACH FID DUTY,NEGLIGENCE,FRAUD, BREACH OF CONTRACT

$3,000,000.00

$107,500.00

CUSTOMER ALLEGES UNSUITABLE OVER-CONCENTRATION OF THEIR BROKERAGE ACCOUNT IN PUERTO RICAN LEVERAGED BOND FUNDS, FAILED TO FULLY DISCLOSE THE SERIOUS RISKS ASSOCIATED WITH THE BOND FUNDS INCLUDING INTERNAL LEVERAGE AND LACK OF LIQUIDITY AND FAILED TO DIVERSIFY AND REDUCE THEIR RISK AND EXPOSURE AS THE PUERTO RICAN ECONOMY SUFFERED A SEVERE DOWNTURN AND ITS CREDIT RATINGS COLLAPSED.

$220,000.00

$3,000.00

CUSTOMER CLAIMS OVER CONCENTRATING ACCOUNT AND UNSUITABLE INVESTMENT WHICH RESULTED IN THE COMPLETE LOSS OF THE INVESTED FUNDS.

$100,000.00

REGISTERED REP ALLEGED THAT THE CUSTOMER REQUESTED THIS TYPE OF INVESTMENT. ALSO, THE CUSTOMER HAD KNOWLEDGE AND WAS INFORMED ALL TIME ABOUT THE PERFORMANCE OF HIS ACCOUNT.