JOSE LUIS LEQUERICA

JOSE LUIS LEQUERICA is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 701 BRICKELL AVE, MIAMI, FL, 33131.

JOSE LUIS LEQUERICA has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 06, 1996

Disclosure History

JOSE LUIS LEQUERICA has 3 Disclosure Event(s).

Date: April 10, 2015
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES MISREPRESENTATION FROM MAY 2013 TO MARCH 2015.

Date: July 03, 2002
Category: Customer Dispute
Allegations: UNAUTHORIZED PURCHASE OF BRAZIL BOND. CLIENT EARLIER MADE SIMILAR ALLEGATIONS WHICH WERE INVESTIGATED AND BELIEVED TO BE WITHOUT MERIT.
Damage Amount Requested: $68,758.89

Date: October 01, 2001
Category: Customer Dispute
Allegations: CUSTOMER CLAIMS FINANCIAL CONSULTANT FAILED TO FOLLOW INSTRUCTIONS AND FUTHER CLAIMS UNSUITABILITY WITH RESPECT TO THE SELLING OF EQUITIES AND CERTAIN MUTUAL FUNDS.
Damage Amount Requested: $1,100,000.00

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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