FREDERICK S FOX is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1033 SKOKIE BLVD, NORTHBROOK, IL, 60062.
FREDERICK S FOX has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978
Disclosure History
FREDERICK S FOX has 3 Disclosure Event(s).
Date: August 24, 2004 Category: Customer Dispute Allegations: THE CLAIMANT ALLEGES THE FA MADE UNSUITABLE INVESTMENT RECOMMENDATIONS. THE CLAIMANT ALSO ALLEGES THE FA MADE MISPRESENTATIONS AND OMISSIONS RELATING TO THEIR ACCOUNT.THE CLAIMANT FAILED TO DISCLOSE THE MATERIAL RISKS OF THE INVESTMENTS PURCHASED IN THE CLAIMANT'S ACCOUNT. Damage Amount Requested: $36,301.04 Settlement Amount: $4,999.00 Broker Comment: CASE WAS SETTLED FOR NUISANCE VALUE BELOW THE REPORTABLE AMOUNT.
Date: October 24, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT MR. FOX. FAILED TO FOLLOW INSTRUCTIONS AND MADE UNSUITABLE INVESTMENT RECOMMENDATIONS. Damage Amount Requested: $37,000.00
Date: August 01, 1991 Category: Customer Dispute Allegations: THE [CUSTOMER] ALLEGED UNSUITABLE INVESTMENTSIN FOREGIN SECURITIES AND LIMITED PARTNERSHIPS, RESULTING IN$157,000 IN LOSSES Damage Amount Requested: $157,000.00 Settlement Amount: $28,000.00 Broker Comment: THE FIRM CONTENDED THAT THE [CUSTOMERS] WEREEXPERIENCED INVESTORS WITH A HISTORY OF INVESTING IN LOWERPRICED, HIGH RISK DOMESTIC AND FOREIGN SECURITIES AND WEREFULLY AWARE OF THE NATURE OF THEIR INVESTMENTS, INCLUDING ALLRISKS, FOX FOLLOWED FIRM RECOMMENDATIONS AND ALL TRADES WEREAUTHORIZED BY THE [CUSTOMERS]. FOX WAS NOT ASKED TO CONTRIBUTE TOTHE SETTLEMENT.
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