Haselkorn & Thibaut has opened an investigation into William Medina of UBS Financial Services in San Juan, Puerto Rico. If you are an investor concerned about your account or transactions involving William Medina (CRD# 2744961), this comprehensive research update is for you. With federal and state regulations holding financial advisors to strict standards regarding their customers’ accounts and assets, it’s essential to stay informed and proactive should any questions or disputes arise. Our goal is to empower investors with up-to-date information and proven options for recourse.
About William Medina – UBS Financial Advisor in San Juan, Puerto Rico
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William Medina is a registered financial advisor with UBS Financial Services headquartered in San Juan, Puerto Rico. With 26 years of experience in the securities industry, Mr. Medina has worked at reputable firms prior to UBS, including Samuel A. Ramirez & Company, Norwest Investment Services, Wells Fargo Securities, and Clark Melvin Securities Corporation. Since 2002, he’s been affiliated with UBS Financial Services as a broker, and since 2018 as an investment advisor.
Mr. Medina has passed six significant licensing exams:
- Securities Industry Essentials Examination (SIE)
- General Securities Representative Examination (Series 7)
- National Commodity Futures Examination (Series 3)
- Uniform Combined State Law Examination (Series 66)
- Uniform Investment Adviser Law Examination (Series 65)
- Uniform Securities Agent State Law Examination (Series 63)
He is licensed to advise clients in California, Florida, New Mexico, New York, Puerto Rico, Texas, Virginia, and Wisconsin.
Recent Investor Complaint: What We Know
Haselkorn & Thibaut’s investigation follows a recent, significant customer complaint disclosed against William Medina:
- Date Filed: December 2025.
- Allegation: As a representative of UBS Financial Services, Mr. Medina allegedly colluded with a client’s ex-wife to drain the account via unauthorized transfer of funds.
- Status: The complaint is currently pending and alleges unspecified damages.
While the specific nature and details of the allegations are not public, it is important for investors with accounts handled by Mr. Medina to closely review recent account activity and communications for any irregularities. If you feel any action has been taken with your funds or investments without your direct knowledge or consent, it’s critical to seek guidance immediately.
Understanding the Industry Rules: Investor Protections
Brokers and investment advisors must comply with strict industry rules regarding account management and transactions, including:
- FINRA Rule 3260: Prohibits broker-dealers from making securities transactions in customer accounts without the client’s explicit authorization unless special discretionary authority has been granted in writing and approved by the firm.
- FINRA Rule 2010: Requires all persons associated with a member firm to observe high standards of commercial honor and just and equitable principles of trade. Unauthorized activity violates this rule.
Any deviation by an advisor from these standards—such as unauthorized trades or transfers—may result in firm discipline, regulatory sanctions, and potential liability for reimbursement of client losses.
Formal Disclosures and Complaint History
| Source | Finding |
|---|---|
| FINRA BrokerCheck (review here) |
|
| SEC EDGAR & OCIE |
|
| PACER (Federal Courts) |
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| State & Local Court Records |
|
If you are aware of any new complaints or actions involving your accounts or investments with William Medina, it is a good practice to document all communications and seek independent review.
Red Flags for Investors to Watch
Based on the current public record for William Medina, only one active investor complaint has been disclosed—no history of arbitrations or regulatory sanctions. However, investors should remain vigilant for these warning signs:
- Account transactions you do not recognize or authorize
- Funds transfers involving third parties, including relatives, without clear documentation or your written approval
- Pressure to sign forms or grant discretionary authority without full explanation
- Statements that do not match your own records or expected account balance
- Delays in receiving information about your holdings or withdrawal requests
If any of these situations sound familiar, take action—your concerns are valid and you have rights as an investor.
How to Independently Monitor Your Advisor’s Record
- Regularly check your advisor’s record via FINRA BrokerCheck for recent updates or new disclosures.
- Monitor communications from your brokerage for account or advisor notifications.
- Review account statements line by line for unfamiliar activity.
- Consult with an independent legal or compliance professional if suspicious activity arises.
Get a Free, Confidential Review of Your Situation
Haselkorn & Thibaut is a national investment fraud law firm with over 50 years of combined experience, a 98% success rate, and millions recovered for investors. If you have concerns about your investments or accounts with William Medina at UBS Financial Services, don’t wait.
Your first consultation is free and completely confidential. No recovery, no fee. We are here to help you evaluate your situation and explore all possible options for recovery and resolution.
Call 1-888-885-7162 today or visit investmentfraudlawyers.com to get started.
