Jaime ANTONIO Rullan 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.
Jaime ANTONIO Rullan has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since August 03, 2009
Disclosure History
Jaime ANTONIO Rullan has 5 Disclosure Event(s).
Date: April 25, 2016 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations, unauthorized trading and misrepresentation and omission of material facts from 2010 to 2016. Damage Amount Requested: $220,940.21
Date: January 14, 2015 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS FROM NOVEMBER 2011 TO DECEMBER 2014. Damage Amount Requested: $400,000.00 Settlement Amount: $25,000.00
Date: October 27, 2014 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS FROM AUGUST 2009 TO APRIL 2014. Damage Amount Requested: $800,000.00 Settlement Amount: $45,000.00
Date: August 13, 2014 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations and misrepresentations and omissions of material facts. Damage Amount Requested: $1,398,295.87 Settlement Amount: $187,500.00
Date: June 25, 2014 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS. Allegation period 9/1/2012-8/31/2013 Damage Amount Requested: $300,000.00 Settlement Amount: $25,000.00
More Information
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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.
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