JOSE JUAN TORRES

JOSE JUAN TORRES is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1409 E. SILVER SPRINGS BLVD, OCALA, FL, 34470.

JOSE JUAN TORRES has worked at LPL FINANCIAL LLC since August 23, 2011

Disclosure History

JOSE JUAN TORRES has 2 Disclosure Event(s).

Date: December 26, 2001
Category: Customer Dispute
Allegations: IT IS ALLEGED THAT UNSUITABLE INVESTMENTS WERE MADE FROM 1997 THROUGH 2001. DAMAGES UNSPECIFIED.
Broker Comment: MERRILL LYNCH AND THE FINANCIAL ADVISOR DENIED THE ALLEGATIONS. U-5 FILED BY MERRILL LYNCH DOES NOT INCLUDE ALLEGED COMPENSATORY AMOUNT.

Date: November 19, 1998
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT UNAUTHORIZED TRADINGAND CHURNING OF STOCKS OCCURRED IN HER ACCOUNTS. NO SPECIFICDAMAGES ARE ALLEGED. THIS ALLEGEDLY OCCURRED AT MERRILL LYNCH.
Broker Comment: ALLEGATIONS WERE DENIED.CUSTOMER`S ALLEGATIONS RESULT FROM THE FACT THATCERTAIN EQUITIES SHE ADMITTED LY AGREED TO SELL SUBSEQUENTLYINCREASED IN PRICE. CUSTOMER`S ALLEGATIONS ARE PERFORMANCEDRIVEN.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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