BRANDON WHALEY is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 110 FALLON LOOP RD, O'FALLON, MO, 63368.
BRANDON WHALEY has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 08, 2014
Disclosure History
BRANDON WHALEY has 1 Disclosure Event(s).
Date: October 30, 2014 Category: Customer Dispute Allegations: CUSTOMER POA/DAUGHTER CLAIMS RECOMMENDED BONDS (3) WERE MISREPRESENTED AND UNSUITABLE. BONDS WERE RECOMMENDED AND SOLD TO CLIENT IN JUNE, 2014. Settlement Amount: $9,258.59 Broker Comment: FIRM PROPOSED A SETTLEMENT AND RELEASE ON 11/26/2014 TO THE CUSTOMER WHILE EXPRESSLY DENYING AND DISPUTING WRONGDOING OR LIABILITY OF ANY KIND AND ENTERING INTO THE RELEASE IN ORDER TO RESOLVE THE CLAIM. FIRM WILL ISSUE A "SETTLEMENT PAYMENT" IN THE AMOUNT OF THE DIFFERENCE OF THE ORIGINAL DEPOSIT AMOUNT RECEIVED ON MAY, 2014 LESS MONEY MARKET FUNDS HELD IN THE ACCOUNT, THE PROCEEDS OF THE SALE OF THE BONDS HELD IN THE ACCOUNT AND ANY OTHER AMOUNTS RECEIVED INTO THE ACCOUNT PRIOR TO THE DISBURSEMENT OF THE SETTLEMENT AMOUNT.
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