ANDREW JOY BENTON is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 6940, SUITE 400, LINCOLN, NE, 68510-2458.
ANDREW JOY BENTON has worked at RBC CAPITAL MARKETS, LLC since April 17, 2009
ANDREW JOY BENTON has 2 Disclosure Event(s).
Date: May 14, 2010 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNAUTHORIZED TRADING IN SEPTEMBER 2004. COMPENSATORY DAMAGES ARE NOT SPECIFIED. Broker Comment: MERRILL LYNCH FOUND [CUSTOMER'S] CLAIM TO BE WITHOUT MERIT.
Date: September 14, 1998 Category: Customer Dispute Allegations: CUSTOMER ALLEGED TAHT MR. BENTON'SRECOMMENDATIONS TO BUY AND SELL MUTUAL FUNDS WAS NOT GOODADVICE AND HAS COST HIM APPROVIMATELY $10,000. AS ALLEGED$3,000.00 OF CUSTOMER'S CLAIMED LOSSES ARISE FROM TAXES HEHAD TO PAY IN SELLING HIS FUND SHARES. CUSTOMER ALSO RAISESISSUES WITH A LIMITED PARTNERSHIP INVESTMENT HE MADE IN 1989RESULTING IN DAMAGES OF $7,000.00. THE LATTER ISSUE DOES NOTINVOLVE MR. BENTON AS HE DID NOT HANDLE CUSTOMER'S ACCOUNTAT THE TIME. THIS OCCURRED AT MERRILL LYNCH. Broker Comment: MERRILL LYNCH RESPONDED TO THE CUSTOMER THAT HISCOMPLAINT WAS WITHOUT MERIT.WE AGAIN MENTION THAT THE EVENTS REGARDING CUSTOMER'S LIMITED PARTNERSHIP INVESTMENT DOES NOT INVOLVEREPORTABLE ALEGATIONS AGAINST MR. BARTON. IT IS REAONSABLE TOBELIEVE CUSTOMER WOULD KNOW THAT IN SELLINF ANY IVNESTMENTHE MAY BE SUBJECT TO TAX LIABILITIES. THE LOSSES REFERRED TO IN#7 ARE MARKET DECLINES. THESE ARE NOT RELAIZED LOSSES.
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