JUAN ANTONIO BRASCHI 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.
JUAN ANTONIO BRASCHI has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since August 11, 2006
Disclosure History
JUAN ANTONIO BRASCHI has 4 Disclosure Event(s).
Date: December 18, 2017 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations, misrepresentation and omission of material facts. Damage Amount Requested: $264,000.00
Date: December 03, 2014 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS, MISREPRESENTATION AND OMISSION OF MATERIAL FACTS. Damage Amount Requested: $700,000.00 Settlement Amount: $50,000.00
Date: June 17, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FINANCIAL ADVISOR INVESTED THEIR MONEY IN AGGRESSIVE STOCKS AND MUTUAL FUNDS ADVISING THAT THE SECURITIES WERE INSURED WITH GUARANTEED INCOME. CLIENT FURTHER ALLEGES THAT THE FINANCIAL ADVISOR NEVER MENTIONED ANY RISKS REGARDING THE INVESTMENTS AND MADE UNAUTHORIZED TRADES IN THE ACCOUNT. Damage Amount Requested: $95,000.00
Date: May 06, 2004 Category: Customer Dispute Allegations: CUSTOMER VERBALLY RAISED CONCERNS THAT SHE WAS ADVISED THAT INVESTMENTS WERE NOT DIVERSIFIED BUT FINANCIAL ADVISOR ADVISED HER THAT SHE WAS DIVERSIFIED. DAMAGES UNSPECIFIED."t Settlement Amount: $27,500.00
More Information
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