FERNANDO V DE LA VEGA 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.
FERNANDO V DE LA VEGA has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since August 11, 2006
Disclosure History
FERNANDO V DE LA VEGA has 11 Disclosure Event(s).
Date: December 18, 2017 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations and misrepresentation and omission of material facts. Damage Amount Requested: $264,000.00
Date: December 11, 2017 Category: Customer Dispute Allegations: The Customers allege unsuitable investment recommendations and misrepresentation and omission of material facts from March 2014 to October 2017. Damage Amount Requested: $860,069.00
Date: December 05, 2017 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations and misrepresentation and omission of material facts from July 2013 to November 2017. Damage Amount Requested: $331,737.81
Date: August 02, 2017 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations and misrepresentation and omission of material facts from July 2011 to July 2017. Damage Amount Requested: $250,254.00
Date: June 29, 2016 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations and misrepresentation and omission of material facts from June 2010 to June 2016.. Damage Amount Requested: $487,727.37 Settlement Amount: $125,000.00
Date: April 05, 2016 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations and misrepresentation and omission of material facts. Damage Amount Requested: $500,000.00
Date: August 25, 2015 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations and misrepresentation and omission of material facts from September 2006 to August 2015. Damage Amount Requested: $580,000.00
Date: July 24, 2015 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS FROM SEPTEMBER 2006 TO JULY 2015. Allegation activity period: 9/1/2006 to 7/31/2015. Damage Amount Requested: $100,000.00 Settlement Amount: $22,000.00
Date: May 26, 2015 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS FROM 2006 TO 2013. Allegation Activity Period: 1/1/2006 to 12/30/2013. Damage Amount Requested: $75,000.00 Settlement Amount: $20,500.00
Date: October 15, 2014 Category: Financial Type: Bankruptcy
Date: May 12, 2014 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS. 8/1/06-9/30/14 Damage Amount Requested: $1,050,000.00 Settlement Amount: $214,000.00
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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