SIENNA PUALANI YOSHIDA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at KAHULUI OFFICE CENTER, 140 HOOHANA ST., STE.320, KAHULUI, HI, 96732.
SIENNA PUALANI YOSHIDA has worked at LPL FINANCIAL LLC since December 23, 2013
SIENNA PUALANI YOSHIDA has 2 Disclosure Event(s).
Date: April 11, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT HER FINANCIAL ADVISOR DID NOT SWITCH HER 3 FRANKLIN INCOME FUNDS INTO FRANKLIN MODERATE PORTFOLIO FUND FOR MORE THAN 6 MONTHS AFTER THE REQUEST WAS MADE. Damage Amount Requested: $23,244.00
Date: September 01, 2011 Category: Customer Dispute Allegations: DARLENE BROTHERS ESTABLISHED BROKERAGE ACCOUNTS IN APRIL 2011 AND PURCHASED TWO INCOME MUTUAL FUNDS, WHICH WERE CONSISTENT WITH HER STATED INVESTMENT OBJECTIVE, BUT COMPLAINED ABOUT THE MARKET LOSS IN HER ACCOUNTS OF $9,000.00 VIA E-MAIL ON 9/1/2011. SHE FURTHER STATED IN HER E-MAIL THAT SHE DID NOT WANT ANY MARKET EXPOSURE. A GOODWILL OFFERING OF INVESTMENT PRINCIPAL WITH INTEREST (RATE THAT SHE WOULD HAVE EARNED IN HER BOH BANKOHANA BANK ACCOUNT, THE ORIGINAL SOURCE OF THE INVESTMENT) WAS RETURNED TO HER. REPRESENTATIVE'S COMMISSIONS WERE REVERSED ($2,053.86) AND REPRESENTATIVE WAS CHARGED FOR MARKET LOSS (4,662.83), WHICH REPRESENTS THE REPRESENTATIVE'S SETTLEMENT PORTION OF $6,716.69. Damage Amount Requested: $9,000.00 Settlement Amount: $10,286.33
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 SIENNA PUALANI YOSHIDA, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.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.
How to choose a broker or investment adviser. Learn More