Deanna Sieren Cardenas is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 3399 MCDOWELL ROAD, GROVE CITY, OH, 43123.
Deanna Sieren Cardenas has worked at EDWARD JONES since December 05, 1996
Disclosure History
Deanna Sieren Cardenas has 1 Disclosure Event(s).
Date: September 14, 2001 Category: Customer Dispute Allegations: CLIENT INDICATES HE INFORMED CARDENAS AT HIS AGE HE DID NOT WISH TO PURCHASE LONG-TERM INVESTMENTS AND HE WANTED TO KEEP THE ACCOUNT LIQUID. CLIENT STATES DESPITE THIS DISCUSSION CARDENAS STILL PURCHASED A LONG-TERM INVESTMENT. CLIENT CLAIMS THE INVESTMENTS HAVE LOST A CONSIDERABLE AMOUNT OF MONEY. CLAIM EXCEEDS $5,000, Damage Amount Requested: $5,000.00 Broker Comment: CARDENAS STATED SHE REVIEWED THE CUSTOMER'S OTHER INVESTMENTS WHICH WERE HELD PRIMARILY IN CDS AT VARIOUS LOCATIONS. CARDENAS STATED SHE RECOMMENDED GROWTH AND GROWTH AND INCOME MUTUAL FUNDS AS A MEANS TO DIVERSIFY THE CLIENT'S PORTFOLIO AND PROVIDE FOR POTENTIAL FUTURE GROWTH. THE INVESTMENTS WERE MADE ON 8/15/00 AND SET UP IN A PROFIT SHARING AND PENSION PLAN ACCOUNT AT THE RECOMMENDATION AND DIRECTION OF THE CLIENT'S CPA. THIS WAS DONE TO DEFER TAXES ON THE FULL $30,000 INVESTED. ALL TRADES WERE PLACED ON 8/15/00 AND OUR RECORDS DO NOT REFLECT SUBSEQUENT INVESTMENTS MADE FOR THE CLIENT. THE CLIENT WOULD HAVE RECEIVED PROSPECTUSES AND TRADE CONFIRMATIONS AT THE TIME OF PURCHASE. THE PROSPECTUSES PROVIDE ALL DETAILS OF THE MUTUAL FUNDS AND INDICATE THE FUNDS ARE NOT GUARANTEED AND ARE SUBJECT TO MARKET FLUCTUATION. CLAIM DENIED
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