PATRICIA WOJTONEK-GIOITTA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4800 GREAT NORTHERN BLVD, NORTH OLMSTED, OH, 44070.
PATRICIA WOJTONEK-GIOITTA has worked at LPL FINANCIAL LLC since March 10, 2010
Disclosure History
PATRICIA WOJTONEK-GIOITTA has 2 Disclosure Event(s).
Date: January 17, 2017 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT VARIABLE ANNUITY PURCHASED IN 2014 WAS UNSUITABLE AND MISREPRESENTED, AND SOUGHT RECOVERY OF SURRENDER CHARGE OF $12,000. ACTIVITY PERIOD IS 1/1/14 - 3/12/14. Damage Amount Requested: $12,000.00 Broker Comment: REPRESENTATIVE DENIES ALL ALLEGATIONS. ALL TERMS OF VARIABLE ANNUITY WERE FULLY DISCLOSED BOTH VERBALLY AND IN WRITING, AND THE INVESTMENT RATIONALE OF USING AN INCOME RIDER TO SATISFY REQUIRED MINIMUM DISTRIBUTIONS AND INCREASE THE POSSIBILITY OF AN INHERITANCE FOR HER BENEFICIARIES WAS FULLY DISCLOSED AND AGREED TO. REPRESENTATIVE PROVIDED INFORMATIONAL MATERIALS FOR CUSTOMER TO REVIEW WITH HER SON AFTER THE FIRST MEETING, AND CUSTOMER'S SON ACCOMPANIED HER TO THE SECOND MEETING. ALL APPROPRIATE DISCLOSURES WERE PROVIDED AND ALL QUESTIONS WERE RESPONDED TO ACCURATELY. AS OF THE DATE THAT THE CUSTOMER TRANSFERRED HER INVESTMENT TO ANOTHER FIRM, THE NET INVESTMENT GAIN IN THE CONTRACT WAS APPROXIMATELY $13,439.
Date: December 03, 2013 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT HER INITIALS WERE FORGED ON A PORTION OF A CUSTOMER ACKNOWLEDGEMENT FORM THAT WAS COMPLETED IN CONNECTION WITH THE PURCHASE OF A STRUCTURED CD IN SEPTEMBER 2012 Settlement Amount: $6,925.00 Broker Comment: REPRESENTATIVE DENIES THAT THE INITIALS IN QUESTION WERE FORGED, OR THAT SHE FORGED THEM, OR THAT SHE WOULD HAVE HAD ANY REASON TO HAVE FORGED THEM. THE CUSTOMER ACKNOWLEDGES THAT THE INITIALS ON THE FORM INDICATING HER UNDERSTANDING OF THE PRODUCT AND ITS RISK CONSIDERATIONS ARE HERS. THE INITIALING AT ISSUE OCCURRED WHEN THE CUSTOMER CAME IN FOR A SECOND MEETING AND IT WAS AGREED THAT THE AMOUNT OF THE PURCHASE WOULD BE REDUCED. THE INITIALS SHE CLAIMS WERE FORGED APPEAR NEXT TO A REDUCTION OF THE PRINCIPAL INVESTMENT AMOUNT, AND A CROSS OUT OF A SECOND INVESTMENT THAT WAS UNDER DISCUSSION.IN THE INTERESTS OF COMPROMISE AND CLOSURE, SETTLEMENT IN THE AMOUNT OF ANY NET LOSS ON THE INITIAL $100,000 INVESTMENT UPON ITS SALE WAS AGREED TO. THE INVESTMENT WAS SOLD AT A LOSS OF $6,925."
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 PATRICIA WOJTONEK-GIOITTA, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.