HECTOR WILLIAM LAFFITTE-ROSSY 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.
HECTOR WILLIAM LAFFITTE-ROSSY has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 13, 2006
Disclosure History
HECTOR WILLIAM LAFFITTE-ROSSY has 6 Disclosure Event(s).
Date: November 03, 2017 Category: Customer Dispute Allegations: The Customers allege unsuitable investment recommendations, misrepresentation, and omission of material facts from July 2006 to November 2017. Damage Amount Requested: $170,000.00
Date: August 27, 2015 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations and misrepresentation and omission of material facts from August 2009 to August 2015. Damage Amount Requested: $849,585.66
Date: October 30, 2014 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS. TIME FRAME: UNSPECIFIED. Damage Amount Requested: $1,025,625.00 Settlement Amount: $400,000.00 Broker Comment: Amended Statement of Claim filed on September 22, 2015, substituting in heirs of [Third Parties].
Date: October 30, 2014 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS FROM JULY 2006 THROUGH OCTOBER 2014. Damage Amount Requested: $500,000.00 Settlement Amount: $65,000.00
Date: October 30, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THEY "RECEIVED A REPORT FROM THE AUDITOR OF [CUSTOMER]...WHEREIN HE INFORM[ED] US OF SOME UNAUTHORIZED TRANSACTIONS MADE IN OUR INVESTMENT ACCOUNT...". DAMAGES UNSPECIFIED. Settlement Amount: $116,820.10
Date: September 13, 1990 Category: Customer Dispute Allegations: CLAIMANT ALLEGES UNAUTHORIZED DISCRETIONDURING THE PERIOD OF MARCH 1990 THROUGH AUGUST 1990. CLAIMANTALLEGED DAMAGES OF $21,000.00. Damage Amount Requested: $21,000.00 Settlement Amount: $10,500.00 Broker Comment: PAINEWEBBER SETTLED THE MATTER FOR $10,500. MR.LAFFITTE WILL BE CHARGED WITH THE ENTIRE SETTLEMENT.Not Provided
More Information
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