Update For Investors: Ramiro Colon; UBS; Miami, Florida
Stoltmann Law Offices continues to investigate Ramiro Colon, a Miami, Florida-based broker with UBS Financial Services. Colon has received one regulatory sanction, one customer complaint and 24 pending customer complaints, according to the Financial Industry Regulatory Authority (FINRA). He has been accused of failing in a supervisory capacity, failing to supervise, and “failing reasonably to supervise an individual with a view to preventing and detecting the individual’s violations of federal securities laws from 2011 through 2013,”” among other violations. These are all against securities rules. Mr. Colon’s firm, UBS, may be liable for investment losses because the firm has a duty to reasonably supervise him. Please call us today at 312-332-4200 if you suffered Colon losses. The call is free with no obligation. We take cases on a contingency fee basis only.
Colon was registered with Citicorp Financial Services, First Chicago Capital Markets, Marketing One Securities, Popular Securities, R-G Investments Corp and UBS in Ponce, Puerto Rico from November 2006 until February 2015. He is currently registered with UBS in Miami, Florida and has been since November 2006.
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