DANIEL THOMAS WELLS is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1117 3RD AVE, HUNTINGTON, WV, 25701.
DANIEL THOMAS WELLS has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1983
Disclosure History
DANIEL THOMAS WELLS has 1 Disclosure Event(s).
Date: May 17, 2002 Category: Customer Dispute Allegations: THE CLIENTS CLAIMS THAT HER PORTFOLIO WAS CHANGED WITHOUT HER APPROVAL.. DAMAGES NOT SPECIFIE. Settlement Amount: $6,000.00 Broker Comment: THE MATTER WAS SETTLED AS A BUSINESS DECISION TO AVOID THE TIME AND EXPENSE OF LITIGATION. WHILE THE CLIENT ACKNOWLEDGES THAT SHE AUTHORIZED THE TRANSACTIONS, SHE NOW CLAIMS SEVERAL YEARS LATER NOT TO UNDERSTAND MUTUAL FUNDS.
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