Section Title
Report Summary Broker Qualifications Registration and Employment History Disclosure Events
Pagels)
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User Guidance
WILSON D. COLBERGTRIGO
CRD# 1226126
Currently employed by and registered with the following FINRA Firm(s): UBS FINANCIAL SERVICES INC. 250 MUNOZ RIVERA AVENUE SAN JUAN, PR 00918 CRD# 8174 Registered with this firm since: 10/12/1987 UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO 250 MUNOZ RIVERA AVENUE SAN JUAN , PR 00918 CRD# 13042 Registered with this firm since: 03/27/1991
Broker Qualifications
This broker is registered with:
Disclosure Events
Disclosure events are certain criminal matters; regulatory actions ; civil judicial proceedings; customer complaints , arbitrations, or civil litigations; employment terminations ; and financial matters in which the broker has been involved. Are there events disclosed about this broker? Yes
The following types of disclosures have been reported: Type Count
9 Self-Regulatory Organizations 10 U.S. states and territories Is this broker currently suspended or inactive with any regulator? No
This broker has passed:
Registration History
This broker was previously registered with FINRA at the following brokerage firms:
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORA TED CRD# 7691 02/1984 - 05/1987
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Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06, 2013.
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User Guidance
Broker Qualifications
Registrations
This section provides the self-regulatory organizations (SROs) and U.S. stateslterritories the broker is currently registered and licensed with, the category of each registration, and the date on which the registration became effective. This section also provides, for every brokerage firm with which the broker is currently employed , the address of each branch where the broker works. This individual is currently registered with 9 SROs and is licensed in 10 U.S. states and territories through his or her employer.
Employment 1 of 2
Firm Name:
UBS FINANCIAL SERVICES INC.
Main Office Address: 1200 HARBOR BOULEVARD WEEHAWKEN, NJ 07086 Firm CRD#: 8174
SRO Category Status Date
10/12/1987 05/16/2012 03/03/1991 01/28/2008 10/16/1993 07/12/2006 10/11/1992 04/03/1988 10/22/1987
FINRA BOX Options Exchange LLC Chicago Board Options Exchange International Securities Exchange NASDAQ OMX PHLX, Inc. NASDAQ Stock Market NYSE Arca, Inc. NYSE MKT LLC New York Stock Exchange
U.S. Statel Territory Category Status
General Securities Representative General Securities Representative General Securities Representative General Securities Representative General Securities Representative General Securities Representative General Securities Representative General Securities Representative General Securities Representative
Date
10/12/1987 04/12/1994 10/13/2004 11/02/1993
Date
06/11/1990 12/10/1987 02/27/1998 10/26/1987 02/15/1996
11/23/1994
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 2013.
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User Guidance
Broker Qualifications
Employment 2 of 2
Firm Name:
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
Main Office Address : 250 MUNOZ RIVERA AVENUE HATO REV, PR 00918 Firm CRD#: 13042
SRO Category Status Date
03/27/1991 07/12/2006
APPROVED APPROVED
Puerto Rico
Agent
APPROVED
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 2013.
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User Guidance
Broker Qualifications
This individual has passed 0 principal/supervisory exams, 1 general industry/product exam, and 1 state securities law exam.
Principal/Supervisory Exams
Exam
No information reported .
Category
Date
Category
Series 7
Date
01/21/1984
Category
Series 63
Date
02/15/1984
Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found at www.finra.org/brokerqualifications/registeredrep/.
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Frid ay, September 06, 2013.
User Guidance
Registration History
This broker previously was registered with FINRA at the following firms : Registration Dates 02/1984 - 05/1987 Firm Name MERRILL LYNCH , PIERCE, FENNER & SMITH INCORPORATED CRD# 7691 Branch Location
Employment History
Below is the broker's employment history for up to the last 10 years. Please note that the broker is required to provide this information only while registered with FINRA and the information is not updated after the broker ceases to be registered. Therefore, an employment end date of "Present" may not reflect the broker's current employment status. Employment Dates 09/1987 - Present 09/1987 - Present Employer Name PAINEWEBBER INCORPORATED UBS FINANCIAL SERVICES INC . Employer Location HATO REY, PR SAN JUAN , PR
Report# 84168-78 190 about WILSON D. COLBERGTRIGO. Data current as of Frid ay, September 06, 2013.
User Guidance
Disclosure Events
2 . Certain thresholds must be met before an event is reported to CRD, for example:
o A law enforcement agency must file formal charges before a broker is required to report a particular criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the industry and that the activity resulted in damages of at least $5 ,000 . 3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report , information contained in BrokerCheck comes from brokers, brokerage firms and regulators . When more than one of these sources reports information for the same disclosure event, all versions of the event will appear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled . 4 . There are different statuses and dispositions for disclosure events: o A disclosure event may have a status of pending, on appeal, or final. A "pending" disclosure event involves allegations that have not been proven or formally adjudicated . A disclosure event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed. A "final" disclosure event has been concluded and its resolution is not subject to change . o A final disclosure event generally has a disposition of adjudicated, settled or otherwise resolved. An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing. A "settled" matter generally represents a disposition wherein the parties involved in a dispute reach an agreement to resolve the matter. Please note that brokers and brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons . A "resolved" matter usually includes a disposition wherein no payment is made to the customer or there is no finding of wrongdoing on the part of the individual broker. Such matters generally involve customer disputes.
For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further information regarding these disclosure events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain further information regarding the disclosure events.
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 201 3.
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User Guidance
Final
On Appeal
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N/A
N/A N/A
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 2013.
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User Guidance
CLAIMANT ALLEGES THAT RECOMMENDATIONS IN 2009 AND 2010 TO INVEST IN FIRST BANCORP. COMMON STOCK WERE UNSUITABLE. Equity Listed (Common & Preferred Stock) $0.00 UNSPECIFIED
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06, 201 3.
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User Guidance
08/16/201 1
No Settled
07/3 1/2013
$112,500.00 $0 .00 THE CLAIMANT'S ACCOUNT WAS MANAGED AS A JOINT ACCOUNT WITH ANOTHER FINANCIAL ADVISOR . THE CLIENT HAS BEEN A KNOWLEDGEABLE AND SOPHISTICATED INVESTOR WITH INVESTMENTS IN DEVELOPING COUNTRIES. HE HAD MADE MONEY IN THE PAST WITH OUR RECOMMENDATIONS AND HIS OWN RESEARCH. I FIND IT PUZZLING THAT THE INVESTMENTS IS FBP - FIRSTBANCORP (50% OF THE INVESTMENT WAS A SENIOR NOTE OF THE BANK AND NOT EQUITY) WHICH LOST MONEY, WERE DURING A PERIOD OF HEALTH RELATED PROBLEMS FOR HIM . HE ALSO MADE MONEY IN OTHER INVESTMENTS DURING HIS ALLEGED MALAISE.
Disclosure 2 of 6 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Broker UBS FINANCIAL SERVICES INC
CLAIMANT ALLEGES THAT FA RECOMMENDED UNSUITABLE INVESTMENTS IN LOCAL PUERTO RICAN FINANCIAL INSTITUTIONS. TIME FRAME: 2004-2010 Other: EQUITIES $282 ,000.00 No Yes
Product Type: Alleged Damages: Is this an oral complaint? Is this a written complaint?
Report# 841 68-78 190 about WILSON D. COLBERGTRI GO. Data current as of Frid ay, September 06 , 20 13.
User Guidance
Is this an arbitration/CFTC reparation or civil litigation? Arbitration/Reparation forum or court name and location: Docket/Case #: Filing date of arbitration/CFTC reparation or civil litigation:
Disclosure 3 of 6 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
Broker UBS FINANCIAL SERVICES INC.
TIME FRAME :MARCH 2008 . CLAIMANT ALLEGES THAT FA RECOMMENDED UNSUITABLE INVESTMENT IN PUERTO RICO CONSERVATION FUND SECURED NOTES . Other: SECURED NOTES $200 ,000.00 No Yes
Product Type: Alleged Damages: Is this an oral complaint? Is this a written complaint?
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 2013.
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User Guidance
Is this an arbitration/CFTC reparation or civil litigation? Arbitration/Reparation forum or court name and location: Docket/Case #: Filing date of arbitration/CFTC reparation or civil litigation:
Disclosure 4 of 6 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Broker UBS FINANCIAL SERVICES INC.
CLAIMANTS ALLEGE THAT BETWEEN 2005 AND 2007, THE FA RECOMMENDED OVERLY CONCENTRATED POSITIONS IN SECURITIES OF PUERTO RICO FINANCIAL INSTITUTIONS. Other: EQUITIES AND MUNICIPAL BONDS $0.00
Report# 84168-78190 about WILSO N D. COLBERGTRI GO . Data current as of Friday, September 06 , 20 13.
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User Guidance
Alleged Damages Amount Explanation (if amount not exact): Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation? Arbitration/Reparation forum or court name and location: Docket/Case #: Filing date of arbitration/CFTC reparation or civil litigation:
UNSPECIFIED
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06, 2013.
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User Guidance
Disclosure 5 of 6 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Product Type: Alleged Damages:
Broker PAINEWEBBER INCORPORATED
VERBAL ALLEGATIONS REGARDING PEPSI PR IN HER ACCOUNT. DATES AND DAMAGES NOT SPECIFIED .
Disclosure 6 of 6 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
Broker PAINEWEBBER INCORPORATED
CLIENT CLAIMED THAT PURCHASE OF MUNICIPAL BOND WAS NOT AUTHORIZED BY ITS GOVERNING BOARD AND DEMANDED RECISSION OF TRADE AND RETURN OF PURCHASE PRICE . NO TIME PERIOD SPECIFIED .
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Report# 841 68-78190 about WILSON D. COLBERGTRI GO . Data current as of Friday, September 06, 201 3.
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User Guidance
10106/1995
No Settled
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 2013.
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User Guidance
Disclosure 1 of 7 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
Broker UBS FINANCIAL SERVICES INC
TIME FRAME: NOVEMBER 16, 2004 - APRIL 25 , 2011 CLIENT'S COUNSEL ALLEGES FINANCIAL ADVISOR NEGLIGENTLY CREATED TOO MUCH RISK THROUGH OVER-CONCENTRATION AND IMPROPERLY INVESTING CLIENT IN INAPPROPRIATE SECURITIES . COUNSEL FURTHER ALLEGES FINANCIAL ADVISOR DID NOT INFORM CLIENT THAT A MARGIN LOAN WOULD BE PLACED IN ACCOUNT. COUNSEL ALLEGES FINANCIAL ADVISOR FAILED TO EXPLAIN THE ASSOCIATED RISKS AND PROBLEMS TO CLIENT. THE ALLEGED DAMAGES ARE ESTIMATED TO BE IN EXCESS OF $5 ,000. Equity Listed (Common & Preferred Stock) $0.00 ESTIMATED TO BE IN EXCESS OF $5 ,000
Product Type: Alleged Damages: Alleged Damages Amount Explanation (if amount not exact): Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation?
No Yes No
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 2013.
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User Guidance
Settlement Amount: Individual Contribution Amount: Disclosure 2 of 7 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Broker UBS FINANCIAL SERVICES INC. /43138110-2010-445
TIME FRAME: JANUARY 23,2009 - SEPTEMBER 20,2010 CLIENTS' ALLEGE FINANCIAL ADVISOR MISREPRESENTED FUND AS A SAFE INVESTMENT. Other: DEBT - CORPORATE (NOT ASSET-BACKED, INCLUDES CONV, CORP , ZEROS) $5,000 .00 THE ESTIMATED ALLEGED DAMAGES ARE IN EXCESS OF $5 ,000.00 .
Product Type: Alleged Damages: Alleged Damages Amount Explanation (if amount not exact): Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation?
No Yes No
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User Guidance
Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
CLIENT ALLEGES THAT "I ASKED (HIM) TO SELL MY SHARES" AND "PAY WHAT I HAD TO MY MARGIN ACCOUNT AND HE DID NOT FOLLOW MY INSTRUCTIONS AND WILL." CLIENT FURTHER ALLEGES THAT SHE WANTED HER MONEY TO BE "INVESTED IN SHARES OF WESTERN BANK OF P.R." AND THE FINANCIAL ADVISOR "BY HIS OWN WILL DECIDED TO BUY SHARES OF DORAL FINANCIAL CORP OF P.R. " TIME FRAME: FEBRUARY 2004 TO OCTOBER 2005 . Equity Listed (Common & Preferred Stock) $29 ,646.00
07/05/2006
No Denied
03/27/2006
CLIENT ALLEGES THAT FINANCIAL ADVISOR (FA) "ENGAGED IN A SIGNIFICANT NUMBER OF UNAUTHORIZED TRANSACTIONS BY MISREPRESENTING THE INVESTMENTS HE PURCHASED AND THE RISKS INVOLVED" IN CLIENT'S ACCOUNT. CLIENT ALSO ALLEGES THAT FA "ENGAGED IN A PATTERN OF DECEPTION AND MISREPRESENTATION OF THE SECURITIES HELD" IN CLIENT'S ACCOUNT. TIME FRAME : 2003-2005 . Equity Listed (Common & Preferred Stock) BONDS
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 201 3. 17
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User Guidance
Alleged Damages:
$750,000 .00
No ClosedlNo Action
03/0512007
$0.00 $0 .00 COMPLAINT EVOLVED INTO ARBITRATION AND MR. COLBERG WAS NOT NAMED AS A RESPONDENT. I DISAGREE WITH THE CLIENT'S ALLEGATIONS . CLIENT COMPLAINED IN 2005 AND HIS ALLEGATIONS WERE DENIED BY THE FIRM.
Disclosure 5 of 7 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Broker UBS FINANCIAL SERVICES INC .
CLIENT ALLEGED THAT HE DID "NOT UNDERSTAND WHY THERE WERE TWO ORDERS EXECUTED OF 5,000 SHARES EACH ONE WHEN IT WAS SUPPOSED TO BE ONLY ONE ." HE GOES ON TO REQUEST THAT FA "ELIMINATE ONE OF THE ORDERS ." ALLEGED DAMAGES ESTIMATED TO EXCEED $5 ,000. Equity - OTC
03/18/2005
No Denied
05/11/2005
User Guidance
Individual Contribution Amount: Disclosure 6 of 7 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
Broker UBS FINANCIAL SERVICES INC.
CLIENT RAISED CONCERNS THAT BASED ON CONVERSATION THEY HAD , HE ASKED THE FINANCIAL ADVISOR TO SELL IMMEDIATELY THE SHARES THAT HE HAD IN WESTERN BANK. THE CLIENT DOES NOT SEE THE TRANSACTION ON THE STOCK, AND WANTS TO KNOW HOW HE WILL RECOVER THE LOSS SUFFERED. ALLEGED DAMAGES: ESTIMATED TO EXCEED $5 ,000 . Equity - OTC
Disclosure 7 of 7 Reporting Source: Employing firm when activities occurred which led to the complaint:
2 013 FINRA. All rights reserved.
Broker PAINEWEBBER
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 2013.
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User Guidance
Allegations:
CLIENT ALLEGES THAT THE PAINEWEBBER FA FAILED TO INFORM CLIENT OF RISK INVOLVED WITH MARCH 1994 PURCHASE OF RAESA. CLIENT ALLEGES LOSS OF $11 ,500. IN JUNE 1999 FOLLOW-UP LETTER , CLIENT ALLEGED THAT HE WAS NOT ADVISED OF MATURITY DATE OF GNMA RESULTING IN A LOSS OF $9500 . Debt - Asset Backed $11 ,500 .00
No Denied
08/15/1999
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06, 2013.
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User Guidance
Disclosure 1 of 3 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
Broker UBS FINANCIAL SERVICES INC
TIME FRAME : SEPTEMBER 2003 - JUNE 2013 CLIENT ALLEGES SHE ADVISED HER FINANCIAL ADVISOR THAT SHE DID NOT WANT ANY INVESTMENT IN WHICH SHE COULD LOSE THE PRINCIPAL INVESTED AS SHE IS CONSERVATIVE WITH HER MONEY. CLIENT FURTHER ALLEGES FINANCIAL ADVISOR GUARANTEED THE PRINCIPAL OF THE INVESTMENT WOULD NOT BE REDUCED IN ITS VALUE WHICH WAS NOT HONORED . THE ESTIMATED ALLEGED DAMAGES ARE IN EXCESS OF $5 ,000. Other: EQUITY - LISTED (COMMON AND PREFERRED STOCK $0 .00 ESTIMATED ALLEGED DAMAGES ARE IN EXCESS OF $5 ,000.
Product Type: Alleged Damages: Alleged Damages Amount Explanation (if amount not exact): Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation?
No Yes No
06/13/2013
Yes
THIS CLIENT OPENED HER ACCOUNT BACK IN 1986 . DURING THIS TIME , SHE HAS INVESTED IN MANY TYPES OF INVESTMENTS INCLUDING PENNY
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 2013. 21
User Guidance
STOCKS (UNSOLICITED, PREMIUM BONDS, GNMA'S , PREFERRED SECURITIES , ETC . EACH OF THESE TRANSACTIONS WERE FULLY EXPLAINED , APPROVED BY THE CLIENT, AND HELD IN THE ACCOUNT FOR MANY YEARS . SEVERAL OF THE INVESTMENTS WERE HER OWN IDEA. I FIND IT DIFFICULT TO UNDERSTAND THAT AFTER 27 YEARS , SHE IS NOW MAKING ALLEGATIONS THAT ARE FALSE AND I BELIEVE HAVE NO MERIT IN THERE ACCURACY. HER LAST TRANSACTION WAS BACK IN 2003 AND UNTIL NOW HAS NEVER EXPRESSED ANY DISSATISFACTION OR CONCERN REGARDING THE SECURITIES HELD. I TOTALLY DENY THESE ALLEGATIONS.
Disclosure 2 of 3 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
Broker UBS FINANCIAL SERVICES INC, UBS PUERTO RICO AND UBS TRUST COMPANY PUERTO RICO CLAIMANTS ALLEGE THAT THE ADVISOR ENGAGED IN "UNAUTHORIZED" TRADES WITH RESPECT TO PUERTO RICO CONSERVATION TRUST FUND NOTES AND COMMON STOCK OF PUERTO RICAN FINANCIAL INSTITUTIONS BECAUSE THE RECOMMENDATIONS WERE CONTRARY TO THE TERMS OF THE TRUSTS THAT PURCHASED THE SECURITIES. TIME FRAME: 2003 Debt-Corporate Other: DEBT - CORPORATE (NOT ASSET-BACKED , INCLUDES CONV, CORP , ZEROS) $2 ,331 ,635 .00 No Yes Yes FINRA 12-02915
Product Type:
Alleged Damages: Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation? Arbitration/Reparation forum or court name and location: Docket/Case #: Filing date of arbitration/CFTC reparation or civil litigation:
08/21/2012
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User Guidance
Date Complaint Received: Complaint Pending? Settlement Amount: Individual Contribution Amount: Disclosure 3 of 3 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
08/21/2012 Yes
THE CLAIMANT ALLEGES THAT FROM 1996 TO PRESENT, THE ADVISOR UNSUITABLY RECOMMENDED PREFERRED STOCKS , MIASREPRENTING THE TERMS OF THOSE INVESTMENTS, AND THAT STARTING IN 2006 SHE RAISED CONCERNS ABOUT THE PORTFOLIO. Equity Listed (Common & Preferred Stock) $114 ,000 .00 No Yes Yes FINRA 12-03074 09/04/2012
Product Type: Alleged Damages: Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation? Arbitration/Reparation forum or court name and location: Docket/Case #: Filing date of arbitration/CFTC reparation or civil litigation:
09/04/2012 Yes
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User Guidance
Summary:
CUSTOMER COMPLAINT RECEIVED ON 03/30/2010 AND UBS DENIED ALL CLAIMS ON 05/27/2010. CLIENT SUBSEQUENTLY FILE FOR ARBITRATION AND DID NOT NAME MR. COLBERG AS A RESPONDENT
Report# 84168-78190 about WILSON D. COLBERGTRIGO . Data current as of Friday, September 06 , 2013.
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User Guidance
Report# 84168-78190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 2013.
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User Guidance
End of Report
Report# 84168-78 190 about WILSON D. COLBERGTRIGO. Data current as of Friday, September 06 , 2013.
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