JOANNA MORA is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 396 ALHAMBRA CIR, 7TH & 8TH FLS, CORAL GABLES, FL, 33134.
JOANNA MORA has worked at WELLS FARGO CLEARING SERVICES, LLC since July 01, 2003
Disclosure History
JOANNA MORA has 1 Disclosure Event(s).
Date: April 21, 2005 Category: Customer Dispute Allegations: ATTORNEY FOR FLORIDA CLIENT ALLEGES THAT, WITHOUT THE APPROPRIATE EXECUTION ORDER, THE BROKER EXECUTED AN OPTION AND DISPOSED OF 450 GE SHARES WITH A COMBINED NET LOSS OF $9,388.79, IN AN ACCOUNT WHICH DID NOT CONTAIN ANY OPTIONS. Damage Amount Requested: $9,388.79 Broker Comment: BOTH WACHOVIA SECURITIES AND THE BROKER DENIED THE CLIENT'S COMPLAINT. FIRM RECORDS SHOW AND BROKER CONFIRMED THAT THE CLIENT ERRONEOUSLY FILED THE COMPLAINT AS THERE WERE NO GE OPTIONS IN THE ACCOUNTS AND THE SALES OF GE SHARES WERE AUTHORIZED. AFTER THE SALES WERE TRANSACTED, THE BROKER DISTRIBUTED THE CORRECT DOCUMENTATION REGARDING THE SALES, THE BROKER ENGAGED THE CLIENT IN FREQUENT COMMUNICATION AND THE CLIENT DID NOT CONTEST THE GE SALES IN QUESTION UNTIL OVER SIX MONTHS PASSED. THE CLIENT FURTHER AUTHORIZED THE BROKER TO LIQUIDATE ALL OF THE OTHER INVESTMENTS IN THE ACCOUNTS AND TO CLOSE THE ACCOUNTS SO THAT THE CLIENT COULD USE THE PROCEEDS TO PAY FOR HIS CHILDRENS' EXPENSES.
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