LUISA GONZALEZ

LUISA GONZALEZ is currently employed as a Broker and/or Investment Adviser at PNC INVESTMENTS located at 8020 CONROY WINDERMERE ROAD, ORLANDO, FL, 32835.

LUISA GONZALEZ has worked at PNC INVESTMENTS since March 31, 2017

Disclosure History

LUISA GONZALEZ has 3 Disclosure Event(s).

Date: February 07, 2018
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 14, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: MOVE OUT OF STATE FOR FAMILY EMERGENCY AND NEEDED TO SELL THE PROPERTY ON A TIME THE VALUE WAS LESS THAN THE LOAN. THE DEBT WAS SETTLE WITH METLIFE FOR THE SHORT SELL

Date: September 08, 2008
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT VARIABLE ANNUITY INVESTMENT WAS UNSUITABLE AND THAT ADVISOR DID NOT DISCLOSE CERTAIN TERMS OF INVESTMENT
Settlement Amount: $69,965.70
Broker Comment: ADVISOR DENIED ALL ALLEGATIONS AND FIRM RESPONDED TO COMPLAINT DENYING ALLEGATIONS AND LIABILITY. IN THE INTEREST OF AVOIDING POTENTIAL LITIGATION AND COSTS OF DEFENSE, FIRM DECIDED TO OFFER ACCOMMODATION WITH NO ADMISSION OF LIABILITY AND NO CONTRIBUTION FROM ADVISOR. ADVISOR CONTINUES TO MAINTAIN THAT CUSTOMER'S ALLEGATIONS ARE WITHOUT MERIT.

More Information

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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