KAREN KIKUE YOSHIMURA YASUKAWA

KAREN KIKUE YOSHIMURA YASUKAWA is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 1001 Bishop Street, Suite 2920, Honolulu, HI, 96813.

KAREN KIKUE YOSHIMURA YASUKAWA has worked at RAYMOND JAMES & ASSOCIATES, INC. since June 23, 2017

Disclosure History

KAREN KIKUE YOSHIMURA YASUKAWA has 1 Disclosure Event(s).

Date: July 21, 1999
Category: Customer Dispute
Allegations: CLIENTS ALLEGED THAT THEIR INSTRUCTIONS ON WHAT TYPE OF MUTUAL FUNDS TO PURCHASE IN THEIR ACCOUNT IN 1997 WERE NOT FOLLOWED.
Damage Amount Requested: $25,000.00
Broker Comment: THE CLAIM WAS DENIED.

Errors or Outdated Information?

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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