Colin G Sinclair

Colin G Sinclair is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 145 S STATE COLLEGE BLVD, BREA, CA, 92821.

Colin G Sinclair has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 23, 2009

Disclosure History

Colin G Sinclair has 1 Disclosure Event(s).

Date: April 14, 2009
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT, IN SEPTEMBER OF 2007, THE FINANCIAL ADVISOR FAILED TO DISCLOSE TAX CONSEQUENCES OF A CORPORATE DEBT INVESTMENT, CAUSING UNSPECIFIED DAMAGES.

Errors or Outdated Information?

More Information

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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