BRUCE MICHAEL YOSHIDA

BRUCE MICHAEL YOSHIDA is currently employed as a Broker and/or Investment Adviser at ROBERT W. BAIRD & CO. INCORPORATED located at 1400 ROCKY RIDGE DRIVE, SUITE 250, ROSEVILLE, CA, 95661.

BRUCE MICHAEL YOSHIDA has worked at ROBERT W. BAIRD & CO. INCORPORATED since April 13, 2009

Disclosure History

BRUCE MICHAEL YOSHIDA has 2 Disclosure Event(s).

Date: June 15, 2010
Category: Customer Dispute
Allegations: CLIENT'S ATTORNEY ALLEGED, INTER ALIA, MISREPRESENTATION WITH RESPECT TO INVESTMENT ADVICE PERTAINING TO HER SECURITY POSITION. 2005 TO 2009.
Damage Amount Requested: $965,000.00
Broker Comment: CLAIM DENIED.

Date: August 26, 2008
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED UNSUITABILITY AND MISREPRESENTATION OF VOLATILITY OF INVESTMENTS - 2007-2008.DAMAGES UNSPECIFIED.

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.

To view the full report for BRUCE MICHAEL YOSHIDA, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.