CHRISTOPHER BRENT METCALF is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 108 MAIN ST N, SOUTHBURY, CT, 06488.
CHRISTOPHER BRENT METCALF has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 09, 2009
CHRISTOPHER BRENT METCALF has 4 Disclosure Event(s).
Date: June 06, 2011 Category: Customer Dispute Allegations: CLAIMANT ALLEGES FAILURE TO DISCLOSE RISK, OMISSION OF MATERIAL FACTS AND SUITABILITY IN REFERENCE TO THEINVESTMENTS MADE IN LEHMAN STRUCTURED PRODUCTS. TIME FRAME: DEC 12, 2007 - SEP 12, 2008 Damage Amount Requested: $25,000.00 Settlement Amount: $18,750.00 Broker Comment: UBS FINANCIAL COMMENT: " CONFIRMATION WAS MADE BY ATTORNEY THAT THE POSITIONS WERE DELIVERED TO THE FIRM PURSUANT TO THE SETTLEMENT AGREEMENT ".
Date: December 28, 2009 Category: Customer Dispute Allegations: TIME FRAME: DECEMBER 2007 CLAIMANT ALLEGES THAT THE FINANCIAL ADVISOR'S DECEMBER 2007 RECOMMENDATION OF A LEHMAN BROTHERS STRUCTURED PRODUCT WAS MISREPRESENTED. Damage Amount Requested: $550,000.00 Settlement Amount: $360,000.00
Date: November 13, 2009 Category: Customer Dispute Allegations: TIME FRAME: APRIL 7, 2009 - NOVEMBER 13, 2009 CLIENT ALLEGES THAT HIS FINANCIAL ADVISOR LIQUIDATED HIS PACE ACCOUNT WITHOUT HIS AUTHORIZATION. CLIENT FURTHER ALLEGES HIS FINANCIAL ADVISOR FAILED TO FOLLOW HIS INSTRUCTIONS THAT UNDER NO CIRCUMSTANCES, WAS HE TO HAVE ANY MONIES EXCEPT THOSE WAITING TO BE INVESTED, IN A MONEY MARKET FUND. THE ALLEGED DAMAGES ARE ESTIMATED TO BE IN EXCESS OF $5,000. Damage Amount Requested: $5,000.00
Date: October 28, 2009 Category: Customer Dispute Allegations: BY VERBAL COMPLAINT, CLIENT RAISED CONCERNS THAT HIS ACCOUNT WAS CONCENTRATED IN STRUCTURED PRODUCTS: TIME FRAME 2007- 2008 Settlement Amount: $158,732.17
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