FREDERICK JOHN HOEY is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 101 ARRANDALE BLVD, EXTON, PA, 19341.
FREDERICK JOHN HOEY has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978
Disclosure History
FREDERICK JOHN HOEY has 3 Disclosure Event(s).
Date: October 02, 2003 Category: Customer Dispute Allegations: CLAIMAINT ALLEGES UNSUITABILITY WITH RESPECT TO INVESTMENTS AND ASSET ALLOCATION MAINTAINED IN THEIR ACCOUNT. Damage Amount Requested: $97,772.00 Settlement Amount: $9,000.00 Broker Comment: MERRILL LYNCH WILL FILE A STATEMENT OF ANSWER DENYING THE ALLEGATIONS SET FORTH IN CLAIMANT'S STATEMENT OF CLAIM.FREDERICK HOEY WAS A RESPONDENT SOLEY BECAUSE HE WAS A PART OF AN INVESTMENT TEAM. FREDERICK HOEY HAS NO INVOLVEMENT IN THE UNDERLYING UNSUITABILITY CLAIMS. THIS MATTER WAS SETTLED WITHOUT ANY ADMISSION OF LIABILITY TO AVOID THE COST AND EXPENSE OF A HEARING.
Date: February 12, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABLE INVESTMENTS IN HER ACCOUNT IN JANUARY 1991 AND JUNE 1996. Damage Amount Requested: $44,000.00 Broker Comment: MERRILL LYNCH AND MR. HOEY DENY THE ALLEGATIONS BROUGHT FORTH IN THE COMPLAINT AND RESPONDED IN WRITING ACCORDINGLY TO THE STATE OF PENNSYLVANIA AND MS. RICCI IN 2003 WITH COPIES TO THE NYSE AND THE SEC.
Date: December 02, 1998 Category: Customer Dispute Allegations: CUSTOMER ALLEGES FINANCIAL CONSULTANTRECOMMENDED UNSUITABLE AND INAPPROPRIATE INVESTMENTS. DAMAGESCLAIMED APPROXIMATELY ONE MILLION DOLLARS. THIS OCCURRED ATMERRILL LYNCH. Damage Amount Requested: $1,000,000.00 Settlement Amount: $575,000.00 Broker Comment: MATTER SETTLED FOR $575,000.00 TO AVOID THEEXPENSE AND UNCERTAINTY OF PROTRACTED LITIGATION.Not Provided
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