JOEL S VERGEL DE DIOS

JOEL S VERGEL DE DIOS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 901 N SAN FRANCISCO ST, FLAGSTAFF, AZ, 86001.

JOEL S VERGEL DE DIOS has worked at LPL FINANCIAL LLC since October 02, 2009

Disclosure History

JOEL S VERGEL DE DIOS has 1 Disclosure Event(s).

Date: October 01, 2009
Category: Employment Separation After Allegations
Firm Name: WELLS FARGO ADVISORS, LLC
Termination Type: Discharged
Allegations: FAILURE TO FOLLOW FIRM POLICY REGARDING THE DISCLOSURE OF AN UNAUTHORIZED BUSINESS ACTIVITY
Broker Comment: ALTHOUGH WELLS FARGO DID NOT SPECIFY THE OUTSIDE ACTIVITIES THAT WERE UNDISCLOSED, THERE WERE NONE OTHER THAN MY FORMATION OF AN LLC IN CONNECTION WITH MY PLANNED MOVE TO LPL. WHEN WELLS FARGO LEARNED OF MY PLANNED MOVE, I WAS TERMINATED WITHOUT NOTICE. AT THE TIME OF MY TERMINATION, I HAD CONDUCTED NO BUSINESS ACTIVITIES AT ALL THROUGH THE LLC OTHER THAN FORMING IT AND CONTRACTING FOR OFFICE SPACE.

More Information

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