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UBS Broker Rafael Rivera Faces 37 Pending Complaints

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Puerto Rico-based UBS broker Rafael Rivera (CRD# 2398844).

Rafael Rivera has spent twenty years in the securities industry and has been registered with UBS Financial Services in San Juan, Puerto Rico since 1994. According to his BrokerCheck report, he is the subject of 37 pending customer complaints.

  • iStock_00000230608wallstIn 2015 a customer alleged Rafael Rivera, while employed at UBS, failed to supervise his representatives. The customer is seeking more than $98,400 in damages in the pending complaint.
  • In 2015 a customer alleged Rafael Rivera, while employed at UBS, failed to supervise his representatives. The customer is seeking $642,367 in damages in the pending complaint.
  • In 2015 a customer alleged Rafael Rivera, while employed at UBS, failed to supervise his representatives. The customer is seeking more than $752,000 in damages in the pending complaint.
  • In 2015 a customer alleged Rafael Rivera, while employed at UBS, failed to supervise his representatives in connection with alleged misrepresentations and unsuitable investment recommendations. The customer is seeking more than $299,800 in damages in the pending complaint.
  • In 2015 a customer alleged Rivera, while employed at UBS, failed to supervise his representatives in connection to an investment in closed-end bond funds. The customer is seeking $512,000 in damages in the pending complaint.
  • In 2015 a customer alleged Rivera, while employed at UBS, failed to supervise his representatives. The customer is seeking more than $1,109,100 in damages in the pending complaint.
  • In 2015 a customer alleged Rafael Rivera, while employed at UBS, failed to supervise his representatives in connection to an investment in closed-end municipal bond funds. The customer is seeking more than $2,209,200 in damages in the pending complaint.
  • In 2014 a customer alleged Rivera, while employed at UBS, failed to supervise his representatives. The customer is seeking more than $2,886,900 in damages in the pending complaint.
  • In 2014 a customer alleged Rafael Rivera, while employed at UBS, failed to supervise his representatives. The customer is seeking more than $3,248,800 in damages in the pending complaint.
  • In 2014 a customer alleged Rivera, while employed at UBS, failed to supervise his representatives. The customer is seeking more than $1,289,000 in damages in the pending complaint.
  • In 2014 a customer alleged Rafael Rivera, while employed at UBS, failed to supervise his representatives. The customer is seeking $1,025,481 in damages in the pending complaint.
  • In 2014 a customer alleged Rivera, while employed at UBS, failed to supervise his representatives. The customer is seeking more than $1,273,000 in damages in the pending complaint.

If you or someone you know has lost money investing with Rafael Rivera, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: you will only pay Fitapelli Kurta if and when you collect money. Time to file your claim may be limited, so we encourgae you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.