Carolyn Henry is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 114 W 47TH ST, NEW YORK, NY, 10036.
Carolyn Henry has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since April 26, 1993
Carolyn Henry has 2 Disclosure Event(s).
Date: August 02, 2002 Category: Customer Dispute Allegations: COMMON LAW FRAUD, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, FRAUDULENT MISREPRESENTATION AND OMISSION, UNSUITABILITY, BREACH OF FIDUCIARY DUTY VIOLATION OF THE NYSE RULE 405 AND FRAUD UNDER FEDERAL SECURITIES LAW. Damage Amount Requested: $350,000.00 Settlement Amount: $35,000.00 Broker Comment: THE MATTER WAS SETTLED PURELY AS A BUSINESS DECISION TO AVOID THE EXPENSE OF ARBITRATION. CLAIMANT HAS ACKNOWLEDGED IN WRITING THAT THE TRANSACTIONS WERE NOT SOLICITED BY MS. HENRY AND WERE MADE BASED ON ADVICE THAT SHE RECEIVED FROM A FRIEND. MS. HENRY DID NOT CONTRIBUTE TO THE SETTLEMENT OF THIS MATTER.
Date: December 07, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGES AN UNAUTHORIZED DISTRIBUTION FROM DECEASED HUSBAND'S IRS; WHICH WAS TO BE ROLLED TO HERS. SHE BELIEVES THAT HER LATE HUSBAND'S EX-WIFE AND HER FORMER EMPLOYER, MERCK & CO. EMBEZZLED FUNDS WITH THE FC'S HELP. COMPLAINT WAS WRITTEN AFTER MERRILL LYNCH MANAGER ASKED HER TO MOVE HER ACCOUNT FROM THE FIRM. Damage Amount Requested: $62,000.00 Broker Comment: ACCOUNT REVIEW INDICATES NO FUNDS ARE MISSING. AT CUSTOMER' REQUEST, AFTER HER HUSBAND'S IRA WAS JOURNAL ENTRIED INTO HER, APPROXIMATELY $62,000.00 WAS TRASNFERRED INTO A MUTUAL FUND ACCOUNT IN HER NAME. FC HAS NO CONTROL OVER THE MUTUAL FUND ACCOUNT, WHICH HAS A DIFFERENT ACCOUNT NUMBER AND ISSUES SEPARATE STATEMENTS. MERRILL DEEMS COMPLAINT TO BE WHOLLY WITHOUT MERIT.
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