OCTAVIO LUGO is currently employed as a Broker and/or Investment Adviser at BARDI CO. LLC located at 633 WEST 5TH ST.,, 28TH FLOOR, LOS ANGELES, CA, 90071.

OCTAVIO LUGO has worked at BARDI CO. LLC since June 11, 2015

Disclosure History

OCTAVIO LUGO has 1 Disclosure Event(s).

Date: April 02, 2001
Category: Customer Dispute
Damage Amount Requested: $17,029.00
Settlement Amount: $8,514.54

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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