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MERRILL LYNCH INVESTIGATED THE ALLEGATIONS IN THE CUSTOMER'S COMPLAINT AND SPOKE WITH THE CUSTOMER. CUSTOMER CONFIRMED TO MANAGEMENT THAT HIS ALLEGATION WAS MADE IN ERROR AS A RESULT OF A MISUNDERSTANDING ON HIS PART. CUSTOMER STATED THAT HE DID NOT RECOGNIZE THE INVESTMENT LISTED IN THE BRIEF DESCRIPTION OF HIS ACCOUNT STATEMENT AND THOUGHT IT WAS AN INVESTMENT IN A MUTUAL FUND INSTEAD OF THE PREFERED STOCK HE APPROVED AND AUTHORIZED. CUSTOMER ACKNOWLEDGED THAT THE INVESTMENT LISTED ON THE ACCOUNT STATEMENT WAS THE TRANSACTION HE APPROVED AND AUTHORIZED. A WRITTEN RESPONSE CONFIRMING CUSTOMER'S CONVERSATION WITH MANAGEMENT WAS SENT DIRECTLY TO CUSTOMER. MERRILL LYNCH HAS CONCLUDED THAT THERE WAS NO WRONG DOING AND CUSTOMER HAS WITHDRAWN HIS ALLEGATION.
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.
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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.