EDWARD NATHAN GLENN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 2951 RANCH RD 620 S, AUSTIN, TX, 78738.
EDWARD NATHAN GLENN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since February 15, 2013
Disclosure History
EDWARD NATHAN GLENN has 2 Disclosure Event(s).
Date: November 09, 1998 Category: Customer Dispute Allegations: CUSTOMER COMPLAINED THAT COMMODITY OPTIONSTRANSACTIONS WERE UNSUITABLE. DAMAGES SOUGHT ARE APPROXIMATELY$17,020.08. Damage Amount Requested: $17,020.08 Broker Comment: THE FIRMS REVIEW FOUND THAT THE CLIENTS CLAIMSHAD NO MERIT. THE FIRM DENIED THE ALLEGATIONS OF WRONGDOING ASWELL AS THE DEMAND FOR RESTITUTION.NOT PROVIDED.
Date: June 26, 1998 Category: Customer Dispute Allegations: CUSTOMER CLAIMED IN ESSENCE, THAT CERTAINCOMMODITY AND EQUITY TRANSACTIONS IN HIS ACCOUNTS WEREUNSUITABLE IN THAT THEY WERE UNDULY RISKY IN LIGHT OF HISFINANCIAL PROFILE. COMPENSATORY DAMAES WERE UNSPECIFIED. THECUSTOMER HAD A DEBIT BALANCE IN EXCESS OF $18,000.00 IN HISCOMMONDITY ACCOUNT AS A RESULT OF SOME THE TRADES AT ISSUE. Settlement Amount: $18,000.00 Broker Comment: WITHOUT ADMITTED OR DENYING WRONGDOING AND TOAVOID THE COSTS AND UNCERTAINTIES OF LITIGATION, THE FIRM"WROTE OFF" THE ABOVE DEBIT $18,000.00 BALANCE AND WILL NOTREQUIRE THE CUSTOMER TO MAKE PAYMENT TO THE FIRM ANY OF THATPUM. THE IVNESTMENT CONSULTANT HAS SIGNED TO AGREE TO MAKE FULLCONTRIBUTIN TO THE FIRM WITH RESPECT TO THIS SETTLEMENT.Not Provided
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