ANNIE M ETCHEGOYHEN

ANNIE M ETCHEGOYHEN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 333 MIDDLEFIELD RD, MENLO PARK, CA, 94025.

ANNIE M ETCHEGOYHEN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 23, 2009

Disclosure History

ANNIE M ETCHEGOYHEN has 2 Disclosure Event(s).

Date: February 20, 2015
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES THAT COMMUNICATIONS FROM JULY 2014 TO FEBRUARY 2015 THAT REPRESENT THE FINANCIAL ADVISOR'S EXPERTISE AND SERVICES WERE INACCURATE.

Date: June 09, 2009
Category: Customer Dispute
Allegations: SUITABILITY
Settlement Amount: $50,000.00
Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE TRANSACTION(S) AT ISSUE TOOK PLACE BEFORE MID-FEBRUARY 2008, WHEN THE ARS MARKET SUFFERED WIDESPREAD AUCTION FAILURES AND ILLIQUIDITY. THE FINANCIAL ADVISOR DID NOT CAUSE, CONTRIBUTE OR HAVE ANY CONTROL WHATSOEVER OVER THESE MARKET EVENTS. THE FIRM REACHED AGREEMENT WITH CERTAIN OF ITS REGULATORS, PURSUANT TO WHICH IT REPURCHASED ARS FOR THEIR FULL PAR VALUE FROM CERTAIN CLIENTS, INCLUDING THE INSTANT CLIENT, WHETHER THEY COMPLAINED OR NOT. THE FINANCIAL ADVISOR WAS NOT A PARTY TO THAT AGREEMENT, DID NOT MAKE ANY PAYMENT TO THE CLIENT, AND WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE REPURCHASE AMOUNT. THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, AS REQUIRED BY FINRA REGULATORY NOTICE 09-12.

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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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