ALISON MILLS GARDNER is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 1819 Main Street, Suite 1100, Sarasota, FL, 34236-5999.
ALISON MILLS GARDNER has worked at RBC CAPITAL MARKETS, LLC since August 31, 2017
Disclosure History
ALISON MILLS GARDNER has 1 Disclosure Event(s).
Date: November 30, 2009 Category: Customer Dispute Allegations: CLAIMANT ALLEGES, INTER ALIA, THAT THE FINANCIAL ADVISOR WAS NEGLIGENT WHEN SHE FAILED TO ADEQUATELY MONITOR HIS ACCOUNTS. TIME PERIOD UNSPECIFIED. Damage Amount Requested: $198,000.00 Settlement Amount: $14,999.00 Broker Comment: THIS MATTER WAS SETTLED FOR BUSINESS PURPOSES, WITH NO ADMISSION OF LIABILITY BY THE FIRM OR BROKER. BROKER DID NOT CONTRIBUTE TO SETTLEMENT.
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