RUBEN GUILLERMO FERNANDEZ is currently employed as a Broker and/or Investment Adviser at GREENBERG FINANCIAL GROUP located at 4511 N CAMPBELL AVE, TUCSON, AZ, 85718.
RUBEN GUILLERMO FERNANDEZ has worked at GREENBERG FINANCIAL GROUP since June 21, 2006
RUBEN GUILLERMO FERNANDEZ has 6 Disclosure Event(s).
Date: April 23, 2007 Category: Regulatory
Date: July 17, 2006 Category: Customer Dispute Allegations: THE CUSTOMER SOUGHT REIMBURSEMENT OF THE COMMISSIONS PAID IN 2005 ASSOCIATED WITH UNAUTHORIZED TRANSACTIONS. SINCE THE ACCOUNT WAS PROFITABLE, NO DAMAGES WERE SET FORTH IN THE COMPLAINT, BUT COMMISSIONS IN EXCESS OF $12,600 WERE REQUESTED. Settlement Amount: $11,272.09
Date: May 19, 2006 Category: Employment Separation After Allegations Firm Name: RBC DAIN RAUSCHER Termination Type: Discharged Allegations: VIOLATION OF COMPANY POLICY BY USE OF DISCETION WITHOUT WRITTEN AUTHORITY FROM CLIENT Broker Comment: THE CLIENT INVOLVED IS THE STEP SISTER OF MY SON-IN-LAW, IN THE PAST SHE HAS REQUESTED THAT I PROCESS TRADES FOR HER IF I WAS UNABLE TO REACH HER AND INFORM HER LATER OF THE TRADES. I REALIZE THAT I SHOULD HAVE GOTTEN WRITTEN AUTHORIZATION AND WILL ALWAY DO SO IN THE FUTURE.
Date: December 11, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES BROKER RECOMMENDED UNSUITABLE EQUITY STOCKS & MUTUAL FUNDS FROM 1999 TO 2002. Damage Amount Requested: $390,843.11 Settlement Amount: $80,000.00
Date: November 24, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES BROKER RECOMMENDED UNSUITABLE EQUITIES AND MUTUAL FUNDS IN 1999-2002. Damage Amount Requested: $518,318.00 Settlement Amount: $75,000.00 Broker Comment: THIS SUIT WAS SETTLED TO AVOID THE FURTHER COSTS OF LITIGATION. MR. FERNANDEZ DENIES BEING RESPONSIBLE FOR ANY LOSSES IN CUSTOMER'S ACCOUNTS, AS CUSTOMER WAS AWARE OF AND AGREED TO THE TRADING STATEGY. MR. FERNANDEZ WAS NOT ASKED TO CONTRIBUTE TO THE SETTLEMENT
Date: November 03, 1992 Category: Customer Dispute Allegations: CUSTOMER ALLEGED FRAUD, MISSTATEMENTS OFMATERIAL FACT, NON-DISCLOSURE, UNSUITABILITY OF VARIOUS EQUITYPOSITIONS, FUNDS AND PARTNERSHIPS, AND CHURNING OF MUTUALFUNDS. DAMAGES OF $176,966 WERE ALLEGED. Damage Amount Requested: $176,966.00 Settlement Amount: $25,000.00 Broker Comment: SETTLED FOR $25,000.NOT PROVIDED
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