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Chapter 7 filing to stop foreclosure sale on a primary residence. Legal action against Bank of America Mortgage is pending.
12/7/2016
Customer Dispute
Denied
Allegations
Complaint involving the suitability of a variable annuity and the disclosure of fees.
9/4/2015
Employment Separation After Allegations
Firm Name
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Termination Type
Discharged
Allegations
Conduct involving submission of inaccurate business expense reimbursement reports.
Broker Comment
I submit that Merrill's decision is erroneous and improper as it relates to the business expenses. That has resulted in a submission the Form U-5 that is false, misleading and/or inaccurate. I did not engage in "fraud" nor did I engage in the "wrongful taking of property. The "property" referenced is the reimbursement of my self-funded business development account used to expand my financial advisory practice.
12/5/2002
Customer Dispute
Settled
Allegations
CUSTOMER ALLEGES NEGLIGENCE, UNSUITABLE TRANSACTIONS IN THE ACCOUNT AND FAILURE TO SUPERVISE.
Damage Amount Requested
$342,335.00
Settlement Amount
$120,000.00
Broker Comment
THE FORM U5 SUBMITTED BY MERRILL LYNCH ON 9/21/2004 STATES THAT THE MATTER WAS SETTLED FOR BUSINESS REASONS.
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.