JUAN MANUEL YEPIZ is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 129 N. CLOVERDALE BLVD., SUITE #2, CLOVERDALE, CA, 95425.
JUAN MANUEL YEPIZ has worked at CENTAURUS FINANCIAL, INC. since August 01, 2011
JUAN MANUEL YEPIZ has 2 Disclosure Event(s).
Date: September 20, 2011 Category: Customer Dispute Allegations: THE ALLEGATIONS ARE CONSTRUCTIVE FRAUD, BREACH OF FIDUCIARY DUTY AND NEGLIGENCE IN THAT THE REPRESENTATIVE SHOULD HAVE COUNSELED THEM AND DISCLOSED THE BASIC DYNAMICS OF THESE SECURITIES PURCHASED IN 2004 & 2005. Damage Amount Requested: $500,000.00 Settlement Amount: $30,000.00 Broker Comment: REP DENIES ALLEGATIONS FULL DISCLOSURE PROVIDED TO CLIENT AND THEIR ATTORNEY.
Date: August 25, 1994 Category: Customer Dispute Allegations: UNSUITABLE PRODUCT RECOMMENDATION. Damage Amount Requested: $50,000.00 Settlement Amount: $65,400.00 Broker Comment: CLIENT/REP SETTLED FOR 65,400 FOR UNSUITABLEPRODUCT RECOMMENDATION.1. I RESIGNED FROM IDS BECAUSE THE DIV. MGR SAIDTHAT IDS WOULD NOT DEFEND THE CUSTOMER COMPLAINT - EVENT THO APREVIOUS MGR FOUND IN MY FAVOR. 2. I RESPONDED ON A TIMELYBASIS AND COOPERATED COMPLETELY. 3. I OFFERED EVIDENCE THAT THECLIENT CLAIM WAS UNWARRANTED (ENCLOSED HERE FOR INCLUSION IN MYFILE) 4. I SHOWED EVIDENCE THAT THE DOLLAR AMOUNT REQUESTED BYTHE CLIENT WAS INCONSISTANT WITH THE COMPLAINT ITSELF 5. IDSSETTLED W/THE CLIENT FOR AN AMOUNT EVEN HIGHER THAN THEINFORMED AMOUNT THAT WAS REQUESTED BY THE CLIENT 6. THE IDSHANDLING OF THIS COMPLAINT WAS PREDICTED BY THE FACT THAT I HADRESIGNED.
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