CARL JOSEPH GUILLORY is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1221 MCKINNEY ST, HOUSTON, TX, 77010.
CARL JOSEPH GUILLORY has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 25, 1990
Disclosure History
CARL JOSEPH GUILLORY has 2 Disclosure Event(s).
Date: April 16, 2015 Category: Customer Dispute Allegations: The Customer alleges unsuitable invesment recommendations and misrepresentation from January 2003 to June 2012.
Date: January 15, 2002 Category: Customer Dispute Allegations: CUSTOMERS CLAIM THAT THEY WERE MATCHED WITH OUTSIDE INVESTMENT MANAGERS THAT WERE TOO AGGRESSIVE AND THAT UNSUITABLE MUTUAL FUNDS WERE RECOMMENDED TO THEM. Damage Amount Requested: $360,535.00 Damages Granted: $90,360.00 Broker Comment: THE $90,360 AWARD IS INCLUSIVE OF ATTORNEY'S FEES AND COSTS.
More Information
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