RedFlags, Allegations and Complaints against JUAN FRANCISCO MANTEIGA
Disclosure #1 for JUAN MANTEIGA
- eventDate: 1/12/1993
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: VIOLATION OF THE FLORIDA SECURITIES AND INVESTOR PROTECTION ACT CHAPTER 517. FLORIDA STATUTE: BREACH OF CONTRACT; NEGLIGENCE & GROSS NEGLIGENCE. BREACH OF FIDUCIARY DUTY. COMMON LAW FRAUD
- Settlement Amount: $45,000.00
- Arbitration Docket Number:
- Broker Comment: SETTLEMENT WITH MERRILL LYNCH, PIERCE, FENNER & SMITH INC. FOR $45,000.00 AND RELEASED & DISCHARGED NONE OF WHEN ADMIT ANY LIABILITY TO THE UNDERSIGNED AND ALL OF THEN EXPRESSESSLY DENY ANY LIABILITY, FROM ANY AND ALL CLAIMS, CLAIMS OF LIEN, CROSSCLAIMS, DEMANDS, DAMAGES, ACTIONS, CAUSES OF ACTIONS OR SUITS OF ANY KIND OR NATURE WHATSOEVER. IN 1983, [CUSTOMER VISITED ME AT THE MERRILL LYNCH OFFICE IN TAMPA FLORIDA. WE INITALLY OPENED A CUSTODIAL ACCOUNT FOR HER SON WHICH WE INVESTED IN STOCKS, BONDS AND CERTIFICATES OF DEPOSITS. LATER SHE OPENED AN ACCOUNT IN HER NAME AND SHE EXPLAINED TO ME HER HUSBAND WAS A DOCTOR IN TAMPA AND WAS IN A VERY HIGH TAX BRACKET AND SO WAS INTERESTED IN TAX ADVANTGED INVESTMENTS. WE DEPOSITED MOST OF THE MONIES IN A SHORT-TERM TAX-FREE MUTUAL FUND. A MERRILL LYNCH SPONSERED REALESTATE LIMITED PARTNERSHIP BECAME AVAILABLE. SHE EXPLAINED TO ME SHE HAD GOOD EXPERIENCES WITH REALESTATE AND SHE MADE THE PURCHASE. I EXPLAINED TO HER ALL THE ADVANTAGES AND DISADVANTAGES OF THE PARTNERSHIP. UNFORTUNATELY YEARS LATTER THE PARTNERSHIP STOPPED PERFORMING AS WE HAD EXPORTED AND SHE EXHAUSTED HER OTHER FUNDS ON A FAILED BUSINESS VENTURE.
Should I file a FINRA complaint against brokers like JUAN FRANCISCO MANTEIGA?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by JUAN FRANCISCO MANTEIGA’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About JUAN FRANCISCO MANTEIGA
What is JUAN MANTEIGA’s Central Registration Depository (CRD) Number?
Which firm is JUAN FRANCISCO MANTEIGA associated with?
OPPENHEIMER & CO. INC.
Where is JUAN MANTEIGA located?
4221 WEST BOY SCOUT BLVD., TAMPA, FL, 33607
Where can I find more details about JUAN MANTEIGA’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/249 to read a detailed report for OPPENHEIMER & CO. INC.
Are there any disclosures, allegations or complaints filed against JUAN FRANCISCO MANTEIGA?
Where can I download a detailed FINRA report for JUAN MANTEIGA?
Is it safe to do business with JUAN FRANCISCO MANTEIGA?
We’re not sure. Please research JUAN MANTEIGA’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:41 am
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