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Written by 1:14 pm Blog, Securities Fraud Articles

Investigation of UBS financial advisor Eduardo Sordo

We are investigating a possible securities fraud claim on behalf of an investor involving investment recommendations made by former UBS Financial Services financial advisor Eduardo “Eddie” Sordo.

Based on our preliminary investigation, it appears that Mr. Sordo initially invested the investor primarily in UBS proprietary products, inappropriately invested the investor on margin, and then later over-concentrated the investor in bank stocks.

According to his FINRA Broker Report (CRD), in addition to working as a financial advisor at UBS Financial Services, Eddie Sordo has also worked as a registered representative at Princor Financial Services Corporation and Merrill Lynch. He is currently registered with Wells Fargo Advisors (formerly Wachovia).

If you have any information that may assist us in our investigation on behalf of this investor, please contact us at 312-238-9650.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. With over 30 years of securities law experience, including experience working at FINRA (f/k/a the NASD) and the SEC, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions. For more information on The White Law Group, please visit our website at https://whitesecuritieslaw.com.

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