JORGE PEREIRA

JORGE PEREIRA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7 WEST BROAD STREET, STE 209, MOUNT VERNON, NY, 10522.

JORGE PEREIRA has worked at LPL FINANCIAL LLC since March 24, 2006

Disclosure History

JORGE PEREIRA has 1 Disclosure Event(s).

Date: July 19, 2004
Category: Customer Dispute
Allegations: COMPLAINT ALLEGES THAT IN JULY 2001 RR JORGE PEREIRA RECOMMENDED AN UNSUITABLE INVESTMENT IN VARIOUS MUTUAL FUNDS.
Damage Amount Requested: $5,000.00 Damages Granted: $2,000.00
Broker Comment: MR. PEREIRA DENIES THE ALLEGATIONS. HE DISCUSSED THE INVESTMENTS SEVERAL TIMES PRIOR TO THE CLIENT PLACING THE ORDERS. THE CLIENT DID NOT COMPLAIN FOR 3 YEARS AFTER THE INITIAL INVESTMENT. LOSSES WERE NOT REALIZED UNTIL ANOTHER BROKER RECOMMENDED THE SALE OF THE INVESTMENTS. THE BROKER WAS NOT ASKED TO CONTRIBUTE.

More Information

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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.

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