Diane MARIE (PETERSON) Carter is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1211 SW 5TH AVE, PORTLAND, OR, 97204.
Diane MARIE (PETERSON) Carter has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since March 07, 1984
Disclosure History
Diane MARIE (PETERSON) Carter has 2 Disclosure Event(s).
Date: January 10, 2005 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENTS IN THEIR RETIREMENT ACCOUNTS FROM 1999 - 2000. SOME EXAMPLES GIVEN ARE INFOSPACE, ORACLE, JDSU. Damage Amount Requested: $200,000.00 Settlement Amount: $37,521.00 Broker Comment: WE SETTLED THIS MATTER FOR BUSINESS REASONS AND LESS THAN THE COST OF DEFENSE.
Date: April 13, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT MS. CARTER MISLED HIM ON MANY ISSUES RELATED TO TRADES AND VIOLATED SUITABILITY GUIDELINES. Damage Amount Requested: $10,778.00 Broker Comment: MERRILL LYNCH AND MS. CARTER DENY ANY AND ALL WRONGDOING IN THIS MATTER. WE BELIEVE CUSTOMER WAS PROPERLY INFORMED WITH REGARDS TO HIS TRADES AND THAT THE INVESTMENTS WERE SUITABLE. THIS MATTER WAS DENIED BECAUSE WE BELIEVED IT TO HAVE NO MERIT.
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