Jorge Sonville (CRD #: 2558540), a broker and an investment adviser registered with Merrill Lynch, Pierce, Fenner & Smith, has a new investor complaint regarding an unsuitable investment recommendation, according to his BrokerCheck record, accessed on October 14, 2020. Unsuitability is one of the most common investor complaints, according to the Financial Industry Regulatory Authority (FINRA).
On September 29, 2020, a client alleged that Jorge Sonville made an unsuitable investment recommendation in July 2015. FINRA’s Rule 2111 stipulates that investment advisors must evaluate the suitability of an investment by taking into account their client’s financial goals, age, and risk tolerance. The client is seeking $4,000,000; the dispute is pending.
Jorge Sonville has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in Alabama, Arizona, California, Colorado, Connecticut, Delaware, D.C., Florida, Georgia, Illinois, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Puerto Rico, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Washington, Wisconsin, and Wyoming. He is also a registered investment adviser in Florida and Texas.
In his 25 years of experience, Jorge Sonville has only registered with Merrill Lynch, Pierce, Fenner, & Smith Incorporated (CRD #: 7691).
If Jorge Sonville was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for your free case consultation with a securities attorney.