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
Disclosure History
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
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