ALAN HARRY FORD is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 6100 S YALE AVE, TULSA, OK, 74136.
ALAN HARRY FORD has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978
Disclosure History
ALAN HARRY FORD has 2 Disclosure Event(s).
Date: July 11, 2012 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES EXCESSIVE TRADING IN A DISCRETIONARY ACCOUNT FROM JANUARY 2011 TO JULY 2012.
Date: December 19, 1989 Category: Customer Dispute Allegations: ALLEGED OMISSIONS AND MISREPRESENTATIONS INCONNECTION WITH THE PURCHASE OF $1,000,000 FACE AMOUNT OFCOMMERCIAL PAPER OF COLORADO-UTE FINANCIAL SERVICESCORPORATION. ALTHOUGH THE COMMERCIAL PAPER CARRIER A STANDARDAND POORS RATING OF A-1, IT SUBSEQUENTLY DEFAULTED AND THEISSUER FILED A CHAPTER 11 PETITION. Damage Amount Requested: $933,091.67 Settlement Amount: $700,000.00 Broker Comment: MERRILL LYNCH WILL PAY [customer] $700,000. INTHE EVENT [customer] RECEIVES PRINCIPAL OR INTEREST ON THECOMMERCIAL PAPER, ANY AMOUNT IN EXCESS OF $433,000, PLUSINTEREST, WILL BE PAID TO MERRILL LYNCH.FURTHER RESPONSE TO QUESTION 6 THIS MATTER PREVIOUSLY CONVERTED TO NASD ARBITRATION90-01713. A MARCH 23 AND 26, 1990 LETTER, [customer] OF DALLAS DISMISSED THEIR CLAIMS AGAINST ALAN FORD W/O PREJUDICE.
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