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UBS ordered to pay $4.8 million over Puerto Rican bond sales The wirehouse disputes the damages and asserts the case is not indicative of how other arbitration panels may rule on the investment products. May 14, 2021 2 MINS Finra arbitrators ordered UBS Financial Services Inc. to pay $4.8 million to investors who lost money on Puerto Rican bonds. A three-person Financial Industry Regulatory Authority Inc. arbitration panel found UBS and UBS Financial Services Inc. of Puerto Rico liable for breach of fiduciary duty, breach of contract and rescission related to the sale of Puerto Rican bonds to the claimants, Eugenia Fidalgo Gutierrez, Mercedes Fidalgo Gutierrez and Fidalgo Gutierrez Holding Corp.

Puerto ricoUnited statesPuerto ricanWilliamd gorenEduardo gonzalezEugenia fidalgo gutierrezFranciscoa feliu nigaglioniMercedes fidalgo gutierrezMiguel pascualFinancial industry regulatory authority incFidalgo gutierrez holding corpPlanning associatesFinancial services incFinancial industry regulatory authorityFidalgo gutierrez holdingNationwide planning