JOHN FRANKLIN JOYCE is currently employed as a Broker and/or Investment Adviser at WEDBUSH SECURITIES INC. located at 800 EAST GREENE ST, CARLSBAD, NM, 88220.
JOHN FRANKLIN JOYCE has worked at WEDBUSH SECURITIES INC. since October 02, 2013
Disclosure History
JOHN FRANKLIN JOYCE has 4 Disclosure Event(s).
Date: January 28, 2014 Category: Judgment / Lien Judgment/Lien Amount: $90,228.38 Judgment/Lien Type: Tax Broker Comment: ON NOV 18, 2014, THERE IS STILL AN OUTSTANDING BALANCE OWED TO IRS FOR $84,245.16
Date: November 15, 1994 Category: Customer Dispute Allegations: BREECH OF FIDUCIARY DUTY, SUITABILITY,OMISSION OF FACTS. Damage Amount Requested: $1,300,000.00 Damages Granted: $10,000.00 Broker Comment: AWARD OF $10,000NOT PROVIDED
Date: October 01, 1992 Category: Customer Dispute Allegations: SUITABILITY, BREECH OF FIDUCIARY DUTY,ACCOUNT RELATED REGLIGENCE, MISREPRESENTATION. Damage Amount Requested: $29,750.00 Damages Granted: $29,750.00 Broker Comment: $29,750.00 JOINTLY AND SEVERALLY, ATTORNEY'SFEES, RELIEF REQUEST HAS BEEN DENIED IN FULL.NOT PROVIDED
Date: April 01, 1992 Category: Customer Dispute Allegations: UNSUITABILITY TRANSACTIONS Damage Amount Requested: $160,000.00 Settlement Amount: $25,000.00 Broker Comment: SMITH BARNEY PAID THE CUSTOMER $25,000. I WASNOT A PARTY TO THIS PAYMENTNOT PROVIDED
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