DAVID BARTH HART

DAVID BARTH HART is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 601 108TH AVE NE, BELLEVUE, WA, 98004.

DAVID BARTH HART has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978

Disclosure History

DAVID BARTH HART has 3 Disclosure Event(s).

Date: May 31, 1989
Category: Regulatory

Date: October 01, 1986
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGED UNSUITABILITY, CHURNINGAND DAMAGES IN THE AMOUNT OF $95,000.00.
Damage Amount Requested: $95,000.00
Settlement Amount: $70,000.00
Broker Comment: MERRILL LYNCH SETTLED WITH [CUSTOMER] IN THEAMOUNT OF $70,000.00. I CONTRIBUTED $25,000.00 TOWARDS THESETTLEMENT AND WAS ISSUED A LETTER OF REPRIMAND BY MERRILLLYNCH.DOCUMENTATION PREVIOUSLY SUBMITTED.

Date: July 30, 1982
Category: Customer Dispute
Allegations: CLIENT ALLEGED THAT F/C DID NOT MAKE KNOW THERISKS INVOLVED WITH H I S INVESTMENTS. $2 5.,000
Damage Amount Requested: $25,000.00
Settlement Amount: $25,000.00
Broker Comment: MERRILL LYNCH SETTLED WITH [CUSTOMER] FOR$25,000.00.NOT PROVIDED

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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