Jose E Gonzalez Pumarada is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 15 2ND ST / 15 CALLE 2, GUAYNABO, PR, 00968.
Jose E Gonzalez Pumarada has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 22, 2009
Disclosure History
Jose E Gonzalez Pumarada has 5 Disclosure Event(s).
Date: October 19, 2017 Category: Customer Dispute Allegations: Time frame: Unspecified Claimant alleges that her investments in Puerto Rico close-end funds and municipal bonds were unsuitable, over concentrated and misrepresented as safe investments. Damage Amount Requested: $250,000.00
Date: September 22, 2015 Category: Customer Dispute Allegations: The Customers allege unsuitable investment recommendations and misrepresentation and omission of material facts from October 2009 to September 2015. Damage Amount Requested: $500,000.00 Settlement Amount: $50,000.00
Date: June 25, 2014 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS. Damage Amount Requested: $250,000.00 Settlement Amount: $15,000.00
Date: March 08, 2003 Category: Customer Dispute Allegations: CLIENT REPRESENTATIVE ALLEGED FAILURE TO FOLLOW INSTRUCTIONS WITH REGARD TO SELLING A STOCK AND CLOSING OPTIONS 2/15/2002 TO 1/6/2003. DAMAGES NOT SPECIFIED. Broker Comment: THE CLAIM WAS DENIED.
Date: February 06, 2001 Category: Customer Dispute Allegations: THE CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS AND UNAUTHORIZED TRADING WITH REGARD TO THE PURCHASE OF OPTIONS. AUGUST 2000. Damage Amount Requested: $6,017.20 Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
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.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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