CARLOS ANTHONY VAQUERO is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 5065 WESTHEIMER RD, HOUSTON, TX, 77056.
CARLOS ANTHONY VAQUERO has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 08, 1996
Disclosure History
CARLOS ANTHONY VAQUERO has 2 Disclosure Event(s).
Date: October 06, 2003 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABLE INVESTMENTS IN HIS ACCOUNT. CUSTOMERS DO NOT ALLEGE SPECIFIC COMPENSATORY DAMAGES. Settlement Amount: $320.00
Date: October 01, 1989 Category: Criminal Charges: ARRESTED FOR SHOPLIFTING A LEATHER BELT FROMA DEPARTMENT STORE. Disposition: ON 3/29/90, A DEFERRED ADJUDICATION WAS GRANTEDFOR SIX MONTHS. A $200.00 FINE WAS ALSO IMPOSED. ON9/28/90, THEDEFERRED ADJUDICATION WAS TERMINATED AND THE CASE DISMISSED. Broker Comment: Not Provided
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