Clifford PAUL Huffman

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.

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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