JOAQUIN PHILIP HORTON is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 4000 CIVIC CENTER DRIVE, SUITE 500, SAN RAFAEL, CA, 94903.
JOAQUIN PHILIP HORTON has worked at RAYMOND JAMES & ASSOCIATES, INC. since May 27, 2014
Disclosure History
JOAQUIN PHILIP HORTON has 1 Disclosure Event(s).
Date: October 28, 2014 Category: Customer Dispute Allegations: **Update - This disclosure is no longer reportable under the current U4 because it was filed more than 24 months ago and did not settle for $15,000 or more** CUSTOMER ALLEGES POOR RECOMMENDATIONS/ADVICE RESULTING IN A HIGH ACCULMULATION OF A STOCK HE BEGAN PURCHASING IN 2005 AND MADE SEVERAL SUBSEQUENT PURCHASES. AN ADVERSE COURT DECISION HAS CAUSED THE COMPANY TO FILE FOR CHAPTER 11 PROTECTION. Broker Comment: FIRM DETERMINED THAT COMPLAINT WAS WITHOUT MERIT.
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