Brian ROBERT Lannigan

Brian ROBERT Lannigan is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 2221 WASHINGTON ST, NEWTON, MA, 02462.

Brian ROBERT Lannigan has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 23, 2009

Disclosure History

Brian ROBERT Lannigan has 2 Disclosure Event(s).

Date: March 28, 2006
Category: Customer Dispute
Allegations: CUSTOMER'S ATTORNEY ALLEGES THAT REPRESENTATIVE SOLD UNSUITABLE INVESTMENT IN DECEMBER 2005. CUSTOMER'S ATTORNEY ALSO ALLEGES UNAUTHORIZED REINVESTMENT OF DIVIDENDS AND CHURNING.
Damage Amount Requested: $17,297.37
Broker Comment: TRADES CANCELLED, CUSTOMER SATISFIED.

Date: August 10, 2005
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT REPRESENTATIVE MISINFORMED HIM THAT MUTUAL FUND PURCHASED 4/15/2005 COULD BE EXCHANGED WITHOUT INCURRING A PENALTY.
Damage Amount Requested: $10,000.00
Settlement Amount: $9,904.00
Broker Comment: REPRESENTATIVE STATES THAT HE WAS TOLD BY MUTUAL FUND SPONSOR THAT THE CLIENT WOULD NOT INCUR A PENALTY AS A RESULT OF THIS TRANSACTION. MUTUAL FUND SPONSOR CONTRIBUTED 4,952.00 TOWARDS PAYMENT OF THE SETTLEMENT AMOUNT.

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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