FLOYD CARLIN MERCER is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 100 RAILROAD STREET W, 1000 & 1200 LINCOLN HARBOR BLVD, MISSOULA, MT, 59802.
FLOYD CARLIN MERCER has worked at UBS FINANCIAL SERVICES INC. since October 30, 2008
Disclosure History
FLOYD CARLIN MERCER has 1 Disclosure Event(s).
Date: August 04, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT HE WAS ADVISED THAT HE WOULD INCUR NO SIGNIFICANT COSTS WHEN TRANSFERRING HIS ACCOUNTS TO SALOMON SMITH BARNEY. HOWEVER, UPON THE LIQUIDATION OF THE STOCKS IN ONE OF THE ACCOUNTS THAT HE WANTED TO TRANSFER, HE WAS CHARGED COMMISSION FEES OF $6,842.19. JULY 2000 Damage Amount Requested: $6,842.19 Settlement Amount: $6,842.19 Broker Comment: ON 8/31, BRANCH SENT LETTER TO CLIENT AGREEING TO REDUCE MANAGED ACCOUNT FEES UP TO AND INCLUDING $6,842.19, OVER THE NEXT 3 1/2 YEARS.
More Information
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