AARON ROGER GARCIA is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 39001 W 12 MILE RD, FARMINGTON HILLS, MI, 48331.
AARON ROGER GARCIA has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since April 28, 1980
Disclosure History
AARON ROGER GARCIA has 1 Disclosure Event(s).
Date: March 17, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION,UNSUITABILITY AND OMISSION OF MATERIAL INFORMATION WITH RESPECT TO AUCTION MARKET SECURITIES. DAMAGES UNSPECIFIED. Broker Comment: THIS COMPLAINT AROSE OUT OF THE UNPRECEDENTED ILLIQUIDITY IN THE AUCTION RATE SECURITIES MARKET. PRIOR TO THE RECENT WIDESPREAD AUCTION FAILURES, AUCTION MARKET SECURITIES WERE SOLD THROUGHOUT THE FINANCIAL SERVICES INDUSTRY AS HIGHLY LIQUID INSTRUMENTS AND WERE APPROPRIATELY REGARDED BY THE INDUSTRY AS HIGHLY LIQUID INVESTMENTS.
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