CATHY LYNN ACHTER

CATHY LYNN ACHTER is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 8075 LEESBURG PIKE, VIENNA, VA, 22182.

CATHY LYNN ACHTER has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since February 28, 1992

Disclosure History

CATHY LYNN ACHTER has 1 Disclosure Event(s).

Date: April 16, 2001
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES MS. HUNGATE DID NOT PROVIDE ADEQUATE SUPERVISION OF FINANCIAL CONSULTANT OR ACCOUNTS.
Damage Amount Requested: $610,000.00
Settlement Amount: $250,000.00

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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