PAUL WESLEY FORMBY FERNANDEZ

PAUL WESLEY FORMBY FERNANDEZ is currently employed as a Broker and/or Investment Adviser at NATIONWIDE PLANNING ASSOCIATES INC. located at 268 Muñoz Rivera Ave, World Plaza Suite 803, San Juan, PR, 00918.

PAUL WESLEY FORMBY FERNANDEZ has worked at NATIONWIDE PLANNING ASSOCIATES INC. since November 14, 2014

Disclosure History

PAUL WESLEY FORMBY FERNANDEZ has 1 Disclosure Event(s).

Date: February 28, 2005
Category: Customer Dispute
Allegations: CLIENT CLAIMS PRODUCT THAT WAS SOLD TO HER IN FEBRUARY, 1999 WAS UNSUITABLE DUE TO HER DISABILITY AND INCOME LIMITATIONS.
Damage Amount Requested: $12,775.00
Settlement Amount: $12,000.00

Errors or Outdated Information?

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.

OTHER BROKERS IN PR WITH DISCLOSURE EVENTS

To view the full report for PAUL WESLEY FORMBY FERNANDEZ, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.

BrokerSearch Removal