ALISON MILLS GARDNER

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.

More Information

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

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