YVONNE LISA MCGUIRE is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 800 N MAGNOLIA STE 900, [RBO], ORLANDO, FL, 32803.
YVONNE LISA MCGUIRE has worked at WELLS FARGO CLEARING SERVICES, LLC since October 23, 2001
Disclosure History
YVONNE LISA MCGUIRE has 2 Disclosure Event(s).
Date: February 09, 2010 Category: Customer Dispute Allegations: FL RESIDENT STATED THAT EVERGREEN MUNICIPAL BOND FUND AND OPPENHEIMER AMT-FREE FUNDS THAT HIS BROKER RECOMMENDED DECLINED IN VALUE. CLIENT STATED THAT BROKER SHOULD HAVE BEEN ABLE TO PREVENT THE LOSSES AND GIVEN HIM BETTER ADVICE. (3/4/2004-10/13/2008) Damage Amount Requested: $8,705.91 Broker Comment: FIRM DETERMINED THAT INVESTMENTS WERE IN LINE WITH STATED INVESTMENT OBJECTIVES AND ALL LOSSES WERE INCIDENTAL TO MARKET. THE PERFORMANCE OF THE FUNDS AND MARKET AS A WHOLE COULD NOT HAVE BEEN PREDICTED BY FA AT TIME OF RECOMMENDATION.
Date: July 17, 2002 Category: Customer Dispute Allegations: FLORIDA RESIDENT VERBALLY SAYS THAT SHE DID NOT FULLY UNDERSTAND THE DIFFERENT CLASSES OF MUTUAL FUND SHARES AND WISHED TO REVERSE THE 5/02 PURCHASE OF CLASS B SHARES. Damage Amount Requested: $11,083.11 Settlement Amount: $11,083.00 Broker Comment: IN THE INTEREST OF CLIENT RELATIONS, WITHOUT ADMITTING LIABILITY, CLIENT'S TRANSACTIONS WERE REVERSED AT A COST OF $11,083.11.
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