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CLAIMANT ALLEGES THAT THE FA MADE UNSUITABLE INVESTMENTS AND RECOMMENDATION WITH REGARD TO HIS ACCOUNT. CLAIMANT ALLEGES OVER CONCENTRATION OF HIS ACCOUNT IN EQUITY BY THE FA.
Damage Amount Requested
$300,000.00
Settlement Amount
$21,500.00
Broker Comment
MERRILL LYNCH ULTIMATELY SETTELED THIS MATTER TO AVOID THE COSTS AND VAGARIES OF ARBITRATION.
11/7/2001
Customer Dispute
Denied
Allegations
CUSTOMERS ALLEGE MISHANDLING OF AND UNATTENTION TO THEIR ACCOUNT.
Damage Amount Requested
$150,000.00
6/13/2000
Customer Dispute
Denied
Allegations
CLIENT ALLEGES HER VARIABLE ANNUITIES WERE MISREPRESENTED. NO SPECIFIC DAMAGES ALLEGED.
Broker Comment
UPON INVESTIGATION, IT WAS DETERMINED THAT THE CUSTOMER'S COMPLAINT WAS WITHOUT MERIT.
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.
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.