ALICE J WINDSOR is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 201 FRANKLIN RD, BRENTWOOD, TN, 37027.
ALICE J WINDSOR has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 27, 1994
Disclosure History
ALICE J WINDSOR has 1 Disclosure Event(s).
Date: May 17, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGES FAILED TO FOLLOW INSTRUCTIONS TO SELL SHARES OF VAN KAMPEN FUND Damage Amount Requested: $175,000.00 Broker Comment: CLAIM REJECTED BY FIRM. CLIENT COMMENCED ARBITRATION AGAINST FIRM AND OTHER FA'S, BUT NOT AGAINST MS. CATHEY.
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