OTAVIO HENRIQUE ZOLOTAR SARDINHA is currently employed as a Broker and/or Investment Adviser at XP SECURITIES, LLC located at 701 BRICKELL AVENUE, 21ST FLOOR, MIAMI, FL, 33131.
OTAVIO HENRIQUE ZOLOTAR SARDINHA has worked at XP SECURITIES, LLC since February 12, 2016
Disclosure History
OTAVIO HENRIQUE ZOLOTAR SARDINHA has 1 Disclosure Event(s).
Date: June 27, 2016 Category: Customer Dispute Allegations: Mr. Otavio ended his employment with Banco Do Brasil in February 2016. Subsequent to Mr. Otavio leaving, Banco Do Brasil amended Mr. Sardinha's U5 to disclose a customer complaint that it allegedly received from [Customer] on or around 06/27/2016. [Customer] has never contacted Mr. Sardinha in connection with this complaint, and Mr. Sardinha has received very little information from Banco Do Brasil regarding the same. Accordingly, the information contained herein is based on the information filed by Banco Do Brasil in connection with its amendment of Mr. Sardinha's U5. Banco Do Brasil reported that it received a customer complaint after the voluntary resignation of Mr. Sardinha alleging that Mr. Sardinha, while he was a registered representative of Banco Do Brasil, made allegedly unauthorized trades for the customer. After further investigation, Banco Do Brasil determined that no further action would be taken, and communicated the same to Mr. Sardinha. Damage Amount Requested: $200,998.00 Broker Comment: Mr. Otavio ended his employment with Banco Do Brasil in February 2016. Subsequent to Mr. Otavio leaving, Banco Do Brasil amended Mr. Sardinha's U5 to disclose a customer complaint that it allegedly received from [REDACTED] on or around 06/27/2016. [REDACTED] has never contacted Mr. Sardinha in connection with this complaint, and Mr. Sardinha has received very little information from Banco Do Brasil regarding the same. Accordingly, the information contained herein is based on the information filed by Banco Do Brasil in connection with its amendment of Mr. Sardinha's U5. Banco Do Brasil reported that it received a customer complaint after the voluntary resignation of Mr. Sardinha alleging that Mr. Sardinha, while he was a registered representative of Banco Do Brasil, made allegedly unauthorized trades for the customer. After further investigation, Banco Do Brasil determined that no further action would be taken, and communicated the same to Mr. Sardinha.On June 1, 2018, Banco Do Brasil amended Mr. Sardinha's U5 to indicate that the above complaint was closed with no action.
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.
To view the full report for OTAVIO HENRIQUE ZOLOTAR SARDINHA, click here.
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