CATHERINE MERCEDES SANTIAGO TOCA

CATHERINE MERCEDES SANTIAGO TOCA is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 15 2ND ST / 15 CALLE 2, GUAYNABO, PR, 00968.

CATHERINE MERCEDES SANTIAGO TOCA has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 18, 2011

Disclosure History

CATHERINE MERCEDES SANTIAGO TOCA has 2 Disclosure Event(s).

Date: August 21, 2017
Category: Customer Dispute
Allegations: The Customers allege unsuitable investment recommendations and misrepresentation and omission of material facts from July 2011 to August 2017.
Damage Amount Requested: $1,250,000.00
Broker Comment: I strongly deny all allegations and will seek all remedies afforded to establish that the allegations are entirely lacking in merit.

Date: December 30, 2015
Category: Customer Dispute
Allegations: The Customers allege unsuitable investment recommendations, unauthorized trading and misrepresentation and omission of material facts from July 2013 to December 2015.
Damage Amount Requested: $490,742.25
Broker Comment: I STRONGLY DENY ALL ALLEGATIONS AND WILL SEEK ALL REMEDIES AFFORDED TO ME TO ESTABLISH THAT THE ALLEGATIONS ARE ENTIRELY LACKING IN MERIT.

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 CATHERINE MERCEDES SANTIAGO TOCA, click here.

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