Clifford PAUL Huffman is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 7825 FAY AVE, LA JOLLA, CA, 92037.
Clifford PAUL Huffman has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978
Disclosure History
Clifford PAUL Huffman has 1 Disclosure Event(s).
Date: February 24, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT CERTAIN INVESTMENTS WERE UNSUITABLE. CLIENT MAKES REFERENCE TO A FEBRUARY 2000 INVESTMENT IN THE MERRILL LYNCH FOCUS TWENTY FUND. Damage Amount Requested: $86,000.00 Broker Comment: MERRILL LYNCH AND CLIFFORD HUFFMAN DENY THE CLIENT'S ALLEGATIONS IN THEIR ENTIRETY AND RESPONDED ACCORDINGLY. SINCE, 1995 MR. HUFFMAN HAS WORKED WITH THE CLIENT TO ACHIEVE HIS INVESTMENT OBJECTIVES. OVERALL THE ACCOUNT HAS BEEN PROFITABLE. THE FACT THAT THE SPECIFIC INVESTMENTS IN QUESTION RESULTED IN MONETARY LOSSES IS A MANIFESTATION OF THE RISKS THAT WERE DISCLOSED TO THE CLIENT.
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