Guillermo Eiben is the Subject of an Investor Dispute

Guillermo Eiben (CRD #: 5697705), a broker registered with UBS Financial Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on June 7, 2024. Details concerning this dispute are provided below. 

Investor Allegations 

On May 16, 2024, an investor alleged that Guillermo Eiben implemented an investment strategy in his accounts that was not in his best interest. 

On March 8, 2022, an investor alleged that Guillermo Eiben executed unsuitable investments. The dispute was denied, but investors should know that firms can deny disputes without any external review. Investors can still recover following a denial. 

Regulation Best Interest

Regulation Best Interest (Reg-BI) is an SEC regulation that requires brokerage firms to put their clients’ best interests first. For example, firms must conduct reasonable due diligence when researching investments to ensure their recommendations are suitable for the investor.

Background Information 

Guillermo Eiben has passed the following exams: 

• Series 66 Uniform Combined State Law Examination 
• Series 79TO Investment Banking Registered Representative Examination 
• SIE – Securities Industry Essentials Examination 
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination

He is a registered broker in 12 states and Puerto Rico. He is also a registered investment adviser in Connecticut, New York, and Texas. 

During his 14 years of experience, Guillermo Eiben has registered with two firms: UBS Financial Services (CRD #: 8174) and Morgan Stanley (CRD #: 149777).  

Kurta Law Can Help 

If you have worked with Guillermo Eiben and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.