LORENA LO HEREDIA-CASERES

LORENA LO HEREDIA-CASERES is currently employed as a Broker and/or Investment Adviser at CITIGROUP GLOBAL MARKETS INC. located at CITI RETAIL BANKING, 201 S. BISCAYNE, BLVD. 6TH FLOOR,MIAMI CENTER, MIAMI, FL, 33131.

LORENA LO HEREDIA-CASERES has worked at CITIGROUP GLOBAL MARKETS INC. since May 29, 2007

Disclosure History

LORENA LO HEREDIA-CASERES has 2 Disclosure Event(s).

Date: May 27, 2004
Category: Customer Dispute
Allegations: FLORIDA RESIDENT WRITES THAT WHEN SHE PURCHASED A $100,00 SUN LIFE VARIABLE ANNUITY IN 11/00 THE RR TOLD HER THE VALUE WOULD DOUBLE IN 5 YEARS. STATES FURTHER THAT SHE DID NOT UNDERSTAND THE INVESTMENT AND WAS UNAWARE THAT VALUE OF ANNUITY WOULD FLUCTUATE. SURRENDERED ANNUITY I 5/04 AND RECEIVED $62,549.40
Damage Amount Requested: $37,450.60

Date: June 18, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE MATURITY DATE OF THE INVESTMENT WAS MISREPRESENTED
Damage Amount Requested: $11,922.01
Settlement Amount: $5,961.05
Broker Comment: THE FIRM INVESTIGATED THE ALLEGATIONS MADE AGAINST MS. HEREDIA AND DETERMINED THEM TO BE WITHOUT MERIT. IN ADDITION, THE CUSTOMER DID NOT PURCHASE THE PRODUCT FROM MS. HEREDIA.

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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