Eric Juan Stubbe Arsuaga of Dorchester Massachusetts a stockbroker formerly employed by Santander Securities LLC has been identified in a customer initiated investment related arbitration claim which was resolved for $82,500.00 in damages based upon allegations that the customer had been placed in common and preferred stock and mutual funds among other investments that failed…
Lazaro Armando Fernandez Paredes of Dorchester Massachusetts a stockbroker formerly registered with Santander Securities is the subject of a customer initiated investment related arbitration claim which was resolved for $30,000.00 in damages based upon accusations that the customer had been placed into fraudulent closed end funds and municipal debt investments during the time that Paredes…
Mariondy Fernandez (also known as Mariondy Fernandez Parades) of Dorchester Massachusetts a stockbroker registered with Santander Securities LLC is the subject of a customer initiated investment related arbitration claim which settled for $140,000.00 in damages based upon allegations that (1) transactions effected in the customer’s account were not suitable for the customer (2) fiduciary and…
Julian E. Munoz (also known as Julian Munoz Martinez) of Dorchester Massachusetts a stockbroker formerly registered with Santander Securities LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that the stockbroker entered into a loan arrangement with a…
Suzanne Short of San Juan Puerto Rico a stockbroker registered with Santander Securities LLC is the subject of a customer initiated investment related arbitration claim where the customer sought between $500,000.00 and $1,000,000.00 in damages based upon accusations that transactions violated securities laws or rules (1) a contract and warranties were breached (2) transactions lacked…
Luis Currais Lopez of Dorchester Massachusetts a stockbroker formerly employed by Santander Securities LLC has been identified in a customer initiated investment related arbitration claim which has been resolved for $12,000.00 in damages founded on accusations that (1) transactions failed to be adequately supervised by the securities broker dealer (2) false or misleading statements had…
Hortensia Llavat Tilen of San Juan Puerto Rico a stockbroker formerly employed by Santander Securities LLC is the subject of a customer initiated investment related arbitration claim where the customer sought $3,000,000.00 in damages supported by accusations that (1) the firm failed to supervise Tilen’s closed-end funds and municipal debt transactions in the customer’s account…
Willie Levon Vales of Conshohocken Pennsylvania a stockbroker formerly registered with Santander Securities LLC is the subject of a customer initiated investment related arbitration claim where the customer requested $285,000.00 in damages founded on accusations of the (1) violation of Pennsylvania Unfair Trade Practices and Consumer Protection Law (2) breach of fiduciary duties and contractual…
Luis Currais Lopez of Dorchester Massachusetts a stockbroker formerly registered with Santander Securities LLC is referenced in a customer initiated investment related arbitration claim in which the customer sought $65,000.00 in damages supported by accusations that (1) fiduciary duties were breached (2) the customer was falsely induced into inaction upon discovering volatility in the customer’s…
Robert Luis Maldonado of Guaynabo Puerto Rico a stockbroker formerly registered with Santander Securities LLC is referenced in a customer initiated investment related arbitration claim where the customer sought $500,000.00 in damages founded on allegations of (1) violations of securities laws (2) breach of contract (3) supervisory failures (4) negligence (5) breach of fiduciary duty…
Ricardo Antonio Rodriguez Vazquez of Guaynabo Puerto Rico a stockbroker formerly employed by Santander Securities LLC is the subject of a customer initiated investment related arbitration claim on April 10, 2018 where the customer sought $979,000 in damages based upon accusations of (1) negligence (2) failure to supervise (3) breach of the duty of good faith…
Lazaro Armando Fernandez Paredes of Dorchester Massachusetts a stockbroker formerly registered with Santander Securities LLC is referenced in a customer initiated investment related arbitration claim where the customer requested $100,000.00 in damages founded on accusations that (1) transactions were executed in the customer’s account that were not suitable for the customer (2) the customer’s account…
William K. Tress (also known as William K. Tress Garcia) of Dorchester Massachusetts a stockbroker formerly employed by Santander Securities is the subject of a customer initiated investment related arbitration claim where the customer requested $111,522.41 in damages based upon accusations including (1) gross negligence (2) breach of contract (3) failure to supervise (4) breach…
Gina Marie Bert-Zatto of Plainville Connecticut a stockbroker formerly registered with Santander Securities LLC is the subject of a customer initiated investment related written complaint which was resolved for $16,033.75 in damages on December 29, 2016 founded on accusations of forgery of customer account documentation and losses relating to the customer’s market linked certificate of…
Willie L. Vales, of Conshohocken, Pennsylvania, a stockbroker formerly registered with Santander Securities LLC, is the subject of a customer initiated investment related arbitration claim on February 27, 2017, based upon allegations including violation of securities laws, breach of contract, breach of fiduciary duty, over-concentration, and misrepresentation pertaining to exchange traded funds effected in the…
Kamran Abrishami, of Staten Island, New York, a stockbroker formerly registered with Santander Securities LLC, has been named in a customer initiated investment related written complaint on April 26, 2016, in which the customer requested $15,983.00 in damages based upon allegations that he failed to inform the customer about tax liabilities that the customer would…
Joan Marie Larsen, of Freehold, New Jersey, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she failed to cooperate in a FINRA investigation into allegations that she accepted an unauthorized loan from a customer. Letter of Acceptance, Waiver and Consent, No….
Joseph C. Noyes IV, a stockbroker formerly registered with Santander Securities LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Noyes falsified customer documents, and effected an annuity exchange which was not suitable for a customer. Letter of…