JOSE ENRIQUE RIERA-FIGUEROA is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at LA RAMBLA PLAZA, SUITE 502, 606 TITO CASTRO AVE, PONCE, PR, 00716.
JOSE ENRIQUE RIERA-FIGUEROA has worked at AXA ADVISORS, LLC since February 12, 1997
Disclosure History
JOSE ENRIQUE RIERA-FIGUEROA has 1 Disclosure Event(s).
Date: August 03, 2013 Category: Customer Dispute Allegations: WITH REGARDS TO THE SALE OF A 2011 VARIABLE LIFE INSURANCE POLICY, PLAINTIFFS ALLEGE DEFENDANTS COMMITTED SECURITIES AND ERISA VIOLATIONS BY MAKING RECOMMENDATIONS WHICH WERE NOT SUITABLE GIVEN THE PLAINTIFFS FINANCIAL NEEDS AND OBJECTIVES. DAMAGES IN EXCESS OF $125,000.00. Damage Amount Requested: $125,000.00 Settlement Amount: $45,000.00 Broker Comment: WITHOUT ADMITTING LIABILITY, ALL PARTIES AGREED TO SETTLE THE MATTER FOR $45,000.00. RR RIERA-FIGUEROA'S ERRORS AND OMISSIONS CARRIER DID NOT CONTRIBUTE TO THE SETTLEMENT.
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