LOUIS WEIHON JOE is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 14850 N. SCOTTSDALE ROAD, SUITE 155, SCOTTSDALE, AZ, 85254.
LOUIS WEIHON JOE has worked at RAYMOND JAMES & ASSOCIATES, INC. since February 13, 2009
Disclosure History
LOUIS WEIHON JOE has 4 Disclosure Event(s).
Date: June 17, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGED INVESTMENTS WERE UNSUITABLE; AUGUST 2000.DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
Date: February 16, 2001 Category: Customer Dispute Allegations: CLAIMANT ALLEGES BETWEEN 3/21/00 AND 5/17/00, RESPONDENTS SOLD BLUE CHIP STOCKS AND REPLACED THEM WITH SPECULATIVE TECHNOLOGY STOCK THAT WERE UNSUITABLE. ADDITIONALLY, CLAIMANT ALLEGES NEGLIGENCE, VIOLATION OF VIRGINIA SECURITIES ACT, MISREPRESENTATION AND FAILURE TO SUPERVISE. Damage Amount Requested: $195,070.29 Damages Granted: $200,670.00 Broker Comment: IN SEPTEMBER 2002, MR. JOE CONTRIBUTED $70,000 TOWARD THE $200,670.00 AWARDED TO THE CLAIMANT. THIS FILING IS MADE TO REFLECT THAT CONTRIBUTION.
Date: October 30, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE ANNUITIES PURCHASEDIN HIS ACCOUNT WERE UNSUITABLE. ALLEGED DAMAGES UNSPECIFIED.SMITH BARNEY, INC. Broker Comment: THE CLIENT`S CLAIM WAS DENIED. THERE WERE NOOPTIONS OR COMMODITIES INVOLVED.NOT PROVIDED
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