DAVID ROBERT FEIGELMAN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 3800 MOUNTAIN RD UNIT 559B, STOWE, VT, 05672.
DAVID ROBERT FEIGELMAN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since April 18, 1988
Disclosure History
DAVID ROBERT FEIGELMAN has 3 Disclosure Event(s).
Date: February 16, 2018 Category: Customer Dispute Allegations: The customer alleges unauthorized trading in 2015. Broker Comment: The Financial Advisor denies the client's allegations and believes the transactions were suitable and authorized by the client.
Date: January 14, 2003 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT HER ACCOUNT WAS NOT DIVERSIFIED. NO SPECIFIC DAMAGES WERE CLAIMED. Broker Comment: MERRILL LYNCH FOUND THAT CUSTOMER'S ACCOUNTS WERE PROPERLY ALLOCATED.
Date: April 14, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES HIS FINANCIAL CONSULTANT MISREPRESENTED AN INVESTMENT IN A RETAIL DEPOSIT NOTE.6/1999 Damage Amount Requested: $9,500.00 Broker Comment: MERRILL LYNCH AND MR. FEIGELMAN DENY THE CLIENT'S ALLEGATIONS. PRIOR TO ANY DECISION BEING MADE TO INVEST, MR. FEIGELMAN EXPLAINED TO THE CLIENT THE FEATURES OF THE INVESTMENT IN DETAIL. AT THE TIME OF PURCHASE, THE CLIENT WAS PROVIDED A FACT SHEET, WHICH EXPLAINED IN DETAIL THE NATURE OF THE INVESTMENT. IT WAS TEN MONTHS AFTER THE INVESTMENT WHEN THE CLIENT FIRST RAISED CONCERNS WITH THE INVESTMENT.
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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