When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
The Customer alleges unsuitable investment recommendations and misrepresentation and omission of material facts.
Settlement Amount
$750,000.00
Broker Comment
As presented by the Claimants at the hearing, this arbitration dispute was limited to a life insurance policy and Claimants' failure to pay a required premium on that policy. The dispute did not involve any securities or securities products. It was settled by Merrill Lynch without any admission of liability. Mr. Mills was not requested to, nor did he, contribute to the settlement amount.
3/17/2000
Customer Dispute
Award / Judgment
Allegations
CUSTOMER ALLEGES FINANCIAL CONSULTANT ENTERED A MARKET ORDER TO BUY "LNUX" STOCK. AFTER THE PRUCHASE CUSTOMER ALLEGES HIS WAS A LIMIT, NOT A MARKET ORDER.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Loading...
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.