CHRISTIAN YATES is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 8901 S WESTERN AVE, OKLAHOMA CITY, OK, 73139.
CHRISTIAN YATES has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 26, 2012
Disclosure History
CHRISTIAN YATES has 8 Disclosure Event(s).
Date: May 29, 2015 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES MISREPRESENTATION AND OMISSION OF MATERIAL FACTS IN NOVEMBER 2014. Damage Amount Requested: $10,000.00
Date: May 14, 2012 Category: Financial Type: Compromise Disposition: REACHED COMPROMISE WITH CREDITOR
Date: May 11, 2012 Category: Financial Type: Compromise Disposition: COMPROMISE REACHED WITH CREDITOR
Date: May 11, 2012 Category: Financial Type: Compromise Disposition: REACHED COMPROMISE WITH CREDITOR
Date: May 07, 2012 Category: Financial Type: Compromise Disposition: COMPROMISE REACHED WITH CREDITOR
Date: May 04, 2012 Category: Financial Type: Compromise Disposition: REACHED COMPROMISE WITH CREDITOR
Date: April 28, 2012 Category: Financial Type: Compromise Disposition: REACHED COMPROMISE WITH CREDITOR
Date: April 26, 2012 Category: Financial Type: Compromise Disposition: REACHED COMPROMISE WITH CREDITOR
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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