ANDRES GONZALEZ DUQUE

ANDRES GONZALEZ DUQUE is currently employed as a Broker and/or Investment Adviser at EFG CAPITAL INTERNATIONAL located at CARRERA 7 NO. 71-21 TORRE B OFICINA 506, BOGOTA, , .

ANDRES GONZALEZ DUQUE has worked at EFG CAPITAL INTERNATIONAL since February 04, 2015

Disclosure History

ANDRES GONZALEZ DUQUE has 1 Disclosure Event(s).

Date: September 22, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGED RESPONDENT RECOMMENDED UNSUITABLE INVESTMENTS FOR CLIENT'S PORTFOLIO, FAILED TO DISCLOSE MATERIAL INFORMATION AND/OR MADE MATERIAL MISREPRESENTATIONS ABOUT THOSE INVESTMENTS BETWEEN MID-2006 AND 2008.
Damage Amount Requested: $11,000,000.00
Settlement Amount: $5,152,552.01 501480055109

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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