Peter Yarno Gauthier

Peter Yarno Gauthier is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 23725 CHURCH STREET, PLAQUEMINE, LA, 70764.

Peter Yarno Gauthier has worked at EDWARD JONES since December 26, 1986

Disclosure History

Peter Yarno Gauthier has 2 Disclosure Event(s).

Date: October 09, 2008
Category: Customer Dispute
Allegations: CLAIMANTS' CLAIM BREACH OF FIDUCIARY DUTY IN RELATION TO THEIR ALLEGED PURCHASE OF RISKY TECH EQUITIES IN 2000, THEIR USE OF MARGIN AND EDJ'S RECEIPT OF REVENUE SHARING AND UNAUTHORIZED TRADING. CLAIMANTS FURTHER ALLEGE THAT EDJHELD SECRET SALES CONTESTS AND FAILED TO MONITOR CLAIMANTS' ACCOUNT IN THE DOWN MARKET. (AMOUNT CLAIMED: UNSPECIFIED COMPENSATORY DAMAGES, INTEREST, PUNITIVE DAMAGES, ATTORNEYS' FEES AND COSTS.)
Settlement Amount: $65,000.00
Broker Comment: Dismissed THE COURT GRANTED EDJ'S MOTION TO DISMISS BASED ON RES JUDICATA.*****3/18/10 PLAINTIFF FILED A WRIT OF APPLICATION TO THE LOUSIANA SUPREME COURT.*****9/10/10 SETTLED FOR 65,000.00

Date: January 28, 1997
Category: Customer Dispute
Allegations: LETTER RECEIVED FROM THE INSURANCE DEPARTMENTOF THE STATE OF LOUISIANA CONCERNINF THE CUSTOMER'S ALLEGATIONTHAT THE IR MISREPESENTED A LIFE INSURANCE POLICY. THECUSTOMER HAD PREVIOUSLY COMPLAINED DIRECTLY TO OUE FIRM AND THECOMPLAINT WAS ALSO REPORTED AT THAT TIME. THE STATE OFLOUISIANA HAD ALSO REQUESTED INFORMATION, WHICH WAS SENT TOTHEM.
Damage Amount Requested: $10,000.00
Settlement Amount: $12,913.65
Broker Comment: EVEN THOUGH ITT HARTFORD HAS MADE A COMPROMISESETTLEMENT WITH CUSTOMER IN THE AMOUNT OF $12,913.65,THE STATE OF LOUISIANA STILL SHOWS THE FILE AS PENDING AS OF12/30/97.******12/4/11 PER LETTER DATED DECEMBER 4, 2009, THE COMPLAINT WAS CLOSED AND THE LOUISIANA DEPARTMENT OF INSURANCE HAS NO ISSUES WITH MR. GAUTHIER

More Information

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