Daniel F Thompson is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1100 N KING ST, WILMINGTON, DE, 19884.
Daniel F Thompson has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since May 02, 2016
Disclosure History
Daniel F Thompson has 2 Disclosure Event(s).
Date: February 27, 2014 Category: Customer Dispute Allegations: CLAIMANT ALLEGES, INTER ALIA, THAT IN MAY 2010 THE REGISTERED REPRESENTATIVE FAILED TO FOLLOW LIQUIDATION INSTRUCTIONS. Damage Amount Requested: $200,000.00 Broker Comment: YEARS AFTER FILING AN EMPLOYMENT-RELATED ACTION AGAINST MORGAN STANLEY, THIS FORMER MORGAN STANLEY ADVISOR HAS NOW FILED A NEW COMPLAINT ON BEHALF OF HIMSELF AND HIS FAMILY. I CATEGORICALLY DENY ALL ALLEGATIONS OF IMPROPRIETY IN THE MANNER IN WHICH HIS AND HIS FAMILY'S ACCOUNT(S) WHERE MANAGER AND/OR SUPERVISED.
Date: May 30, 2012 Category: Customer Dispute Allegations: CLAIMANT ALLEGES, INTER ALIA, THAT IN 2010 THE BRANCH MANAGER FAILED TO SUPERVISE HER FINANCIAL ADVISOR WHILE HE PURCHASED UNAUTHORIZED INVESTMENTS IN HER ACCOUNTS. Damage Amount Requested: $42,500.00 Settlement Amount: $8,500.00 Broker Comment: MORGAN STANLEY SETTLED THIS MATTER TO AVOID THE EXPENSE AND INCONVENIENCE OF ARBITRATION AND WITHOUT ADMITTING LIABILITY.
More Information
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