JOE NEIL HAYWOOD

JOE NEIL HAYWOOD is currently employed as a Broker and/or Investment Adviser at SORRENTO PACIFIC FINANCIAL, LLC located at 360 N Sepulveda Blvd, Ste 1025, El Segundo, CA, 90245.

JOE NEIL HAYWOOD has worked at SORRENTO PACIFIC FINANCIAL, LLC since February 01, 2018

Disclosure History

JOE NEIL HAYWOOD has 3 Disclosure Event(s).

Date: February 16, 2017
Category: Customer Dispute
Allegations: Customer alleged misrepresentation on purchase of Variable Annuity sold on January, 2014.

Date: December 13, 2016
Category: Customer Dispute
Allegations: Client alleged misrepresentation on purchase of Variable Annuity sold on May, 2016.

Date: January 10, 2016
Category: Customer Dispute
Allegations: Client alleges that the rep did not place him into better performing funds against the client's best interest.
Damage Amount Requested: $5,000.00
Broker Comment: Client elected to withdraw his complaint after discussing the account performance and the guarantees of the variable annuity policy with Mr. Haywood in more detail.

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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