ANTHONY DOMINICK PAOLO is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 75 ROCKEFELLER PLZ, NEW YORK, NY, 10019.
ANTHONY DOMINICK PAOLO has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since June 15, 2011
Disclosure History
ANTHONY DOMINICK PAOLO has 4 Disclosure Event(s).
Date: September 15, 2015 Category: Customer Dispute Allegations: The Customer alleges excessive trading and unsuitable investment recommendations from June 2011 to April 2015. Settlement Amount: $33,000.00
Date: July 08, 2015 Category: Customer Dispute Allegations: The Customer alleges excessive trading and unsuitable investment recommendations from November 2014 to April 2015. Settlement Amount: $45,000.00
Date: May 04, 2015 Category: Customer Dispute Allegations: The Customer alleges excessive trading from February 2015 to May 2015 and unsuitable investment recommendations from 2011 to 2015. Settlement Amount: $120,000.00
Date: December 11, 2002 Category: Customer Dispute Allegations: CLIENT, THROUGH HER REPRESENTATIVE, ALLEGED UNSUITABLE TRANSACTIONS. 2000-2002. Damage Amount Requested: $96,000.00 Broker Comment: CLAIM DENIED.
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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