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Carlos Domenech: Investor Complaints Against Leander, Texas Advisor

Settled and pending investor complaints against former Leander, Texas broker Carlos Domenech (CRD#: 3082565) allege conduct including misrepresentations, suitability violations, over-concentration, and more. Domenech is a former representative of Supreme Alliance and UBS Financial Services, according to information drawn from Financial Industry Regulatory Authority records.

A pending 2018 complaint alleges that as a representative of UBS Financial Services, Carlos Domenech misrepresented material facts, made unsuitable investment recommendations, and recommended an over-concentration in Puerto Rico closed-end funds and municipal bonds. The complaint alleges damages of $1,000,000.

A pending 2018 complaint alleges that as a representative of UBS Financial Services, Carlos Domenech recommended unsuitable and over-concentrated investments in Puerto Rico closed-end funds. The complaint alleges damages between $500,000 and $1,000,000.

A 2017 complaint alleged that as a representative of UBS Financial Services, Domenech recommended unsuitable and over-concentrated investments in Puerto Rico closed-end bond funds, and failed to disclose the investments’ risks. The complaint reached a settlement of $80,000.

In 2017 complaint alleged that as a representative of UBS Financial Services, he recommended unsuitable and over-concentrated investments in Puerto Rico bonds and closed-end bond funds. The complaint reached a settlement of $97,500.

A 2016 complaint alleged that as a representative of UBS Financial Services, he recommended an over-concentration in unsuitable and risky closed-end funds. The complaint reached a settlement of $100,000.

A 2016 complaint alleged that as a representative of UBS Financial Services, he engaged in suitability violations, over-concentrated the account, and made misrepresentations connected to the recommendation of Puerto Rico closed-end funds. The complaint reached a settlement in 2017 of $145,000.

A 2015 complaint alleged that as a representative of UBS Financial Services, he misrepresented and recommended unsuitable investments that led to an over-concentration in the account. The complaint reached a settlement of $100,000.

 

Carlos Domenech is currently not registered as a broker or investment advisor. His employment history includes Supreme Alliance in Leander, Texas; Kovack Securities in Fort Lauderdale, Florida; UBS Financial Services in San Juan, Puerto Rico; UBS Financial Services Incorporated of Puerto Rico in San Juan, Puerto Rico; and Oriental Financial Services Corporation in San Juan, Puerto Rico. He currently holds zero state licenses and has passed two securities industry qualification examinations.

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By submitting this form I acknowledge that form submissions via this website do not create an attorney-client relationship, and any information I send is not protected by attorney-client privilege.

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