ALBERT GILBERT MASSENA

ALBERT GILBERT MASSENA is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 5152 N EDGEWOOD DR, PROVO, UT, 84604.

ALBERT GILBERT MASSENA has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 07, 2006

Disclosure History

ALBERT GILBERT MASSENA has 2 Disclosure Event(s).

Date: November 25, 2015
Category: Customer Dispute
Allegations: The Customer alleges unauthorized trading and failure to follow instructions from October 2014 to November 2015

Date: December 06, 1995
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION IN CONNECTION WITH PROPRIATARY LIMITED PARTNERSHIPS PURCHASED FROM 12/83 TO 3/87. ALLEGED DAMAGES OF $87,640.00 WERE CLAIMED.
Damage Amount Requested: $87,640.00
Settlement Amount: $26,625.00
Broker Comment: CLIENT ATTENDED FIRM SPONSORED SEMINARS FOR THESE PROGRAMS AND WAS GIVEN ALL PROSPECTUS' AND LITERATURE.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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