SUZANNE SHORT is currently employed as a Broker and/or Investment Adviser at NATIONWIDE PLANNING ASSOCIATES INC. located at 31 Calaf St, Hato Rey, PR, 00918.
SUZANNE SHORT has worked at NATIONWIDE PLANNING ASSOCIATES INC. since June 01, 2016
Disclosure History
SUZANNE SHORT has 6 Disclosure Event(s).
Date: April 20, 2018 Category: Customer Dispute Allegations: Client's allege over-concentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, failure to supervise, breach of duty of good faith and fair dealing. Broker Comment: Suzanne Short is not a named respondent to this arbitration. The claims are believed to stem from the unprecedented turmoil experienced in the Puerto Rico economy.
Date: February 15, 2018 Category: Customer Dispute Allegations: Client alleges, among other things, overconcentration, unsuitability, breach of fiduciary duty, breach of contract, contractual negligence, fraud, constructive fraud, failure to supervise, and violations of securities laws and rules (Puerto Rico bonds and bond funds). Includes request for interest, costs and fees. Damage Amount Requested: $250,000.00 Broker Comment: Suzanne Short is not a named respondent to this arbitration. The claims are believed to stem from the unprecedented turmoil experienced in the Puerto Rico economy.
Date: December 20, 2017 Category: Customer Dispute Allegations: Client alleges, among other things, overconcentration, unsuitability, breach of fiduciary duty, violations of securities laws and rules, breach of contract, negligence, fraud, false inducement to inaction, failure to supervise, breach of duty of good faith and fair dealing (Puerto Rico bonds and funds ). Includes request for rescission, punitive damages, interest, and fees. Damage Amount Requested: $444,000.00 Broker Comment: Suzanne Short is not a named respondent to this arbitration. The claims are believed to stem from the unprecedented turmoil experienced in the Puerto Rico economy.
Date: August 07, 2017 Category: Customer Dispute Allegations: Client alleges, among other things, overconcentration, unsuitability, breach of fiduciary duty, breach of contract, contractual negligence, fraud, constructive fraud, failure to supervise, and violations of securities laws and rules (Puerto Rico bonds and bond funds). Includes request for punitive damages, interest, and fees. Damage Amount Requested: $500,000.00 Broker Comment: Suzanne Short is not a named respondent to this arbitration. The claims are believed to stem from the unprecedented turmoil experienced in the Puerto Rico economy.
Date: October 04, 2016 Category: Customer Dispute Allegations: Client alleges, among other things, unsuitability, over-concentration, breach of good faith and fair dealing, breach of contract, fraud, violations of the securities laws and breach of fiduciary duties (Puerto Rico closed-end funds and open-end funds) . Damage Amount Requested: $639,380.00 Broker Comment: Suzanne Short is not a named respondent to this arbitration.
Date: February 04, 2016 Category: Customer Dispute Allegations: Client alleges fraud, unsuitability, negligence, breach of contract, breach of fiduciary duty, breach of contract (Puerto Rico bonds and closed-end funds). Damage Amount Requested: $215,460.00 Broker Comment: Suzanne Short is not a named respondent to this arbitration.
More Information
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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