EUGENE KARL MONTOYA is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 333-355 SE 2ND AVE/MET 2, [IPCS-L8], MIAMI, FL, 33131.
EUGENE KARL MONTOYA has worked at WELLS FARGO CLEARING SERVICES, LLC since September 30, 2014
EUGENE KARL MONTOYA has 3 Disclosure Event(s).
Date: February 17, 2005 Category: Customer Dispute Allegations: CUSTOMER ALLEGES FA MADE UNSUITABLE INVESTMENTS. Damage Amount Requested: $175,240.00 Settlement Amount: $175,000.00 Broker Comment: MERRILL LYNCH ULTIMATELY SETTLED THIS MATTER TO AVOID THE COSTS AND VAGARIES OF ARBITRATION.
Date: August 25, 1993 Category: Customer Dispute Allegations: UNAUTHORIZED AND UNSUITABLE TRADES. NODAMAGES SET FORTH. Damage Amount Requested: $500,000.01 Broker Comment: MERRILL LYNCH SETTLED THE CASE FOR $28,000. MR.MONTOYA, WHILE NAMED AS A RESPONDENT, WAS SUBSEQUENTLYDISMISSED VOLUNTARILY BY CLAIMANT. AS THE MATTER DREW CLOSER TOTHE HEARING DATE (ONE WEEK AWAY). CLAIMANT SOLICITED SETTLEMENTOFFERS WHICH MERRILL LYNCH ACCEPTED.Not Provided
Date: April 20, 1991 Category: Customer Dispute Allegations: A FOREIGN CUSTOMER, LOCATED IN SOUTH AMERICAWHO WAS SERVICED BY MR. MONTOYA OF OUR INTERNATIONAL DEPARTMENTALLEGED THAT A FUTURES TRANSACTION IN FOREIGN CURRENCY WASENTERED WITHOUT THE SPECIFIC PRIOR APPROVAL OF THE CLIENT.ALLEGED DAMAGES IN THE AMOUNT OF $57,000.00. Damage Amount Requested: $57,000.00 Settlement Amount: $30,000.00 Broker Comment: THE MATTER WAS SEELTED FOR $30,000. MR. MONTOYAWAS CHARGED THE FULL AMOUNT OF SETTLEMENT.Not Provided
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