FREDERICK JOSEPH STUCKER is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1 MONUMENT SQ, PORTLAND, ME, 04101.
FREDERICK JOSEPH STUCKER has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since February 03, 1998
Disclosure History
FREDERICK JOSEPH STUCKER has 7 Disclosure Event(s).
Date: March 28, 2001 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE THAT MR. STUCKER SOLD THEM INVESTMENTS THAT WERE NOT SUITABLE FOR THIER FINANCIAL NEEDS AND OBJECTIVES, ENGAGED IN MISREPRESENTATION AND CHURNING. CUSTOMERS DID NOT SPECIFY A DAMAGE AMOUNT. Settlement Amount: $15,000.00 Broker Comment: MR. STUCKER DENIES THE ALLEGATIONS AND ASSERTS THAT ALL TRADES WERE AUTHORIZED BY THE CUSTOMERS AND WAS CONSISTENT WITH THEIR RISK TOLERANCE.
Date: August 15, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGES FINANCIAL CONSULTANT MISMANAGED AND FAILED TO MONITOR HER ACCOUNTS IN THAT THE VALUE OF HER ACCOUNTS DECREASED. Damage Amount Requested: $295,311.00 Settlement Amount: $161,500.00
Date: April 06, 1999 Category: Customer Dispute Allegations: [CUSTOMER] ALLEGED THAT THE SALE OF GENERAL ELECTRIC COMMON STOCK AND THE PURCHASE OF THE CHARTWELL DIVIDEND AND INCOME FUND WERE UNSUITABLE. Settlement Amount: $16,000.00 Broker Comment: MERRILL LYNCH CANCELED THE SALE OF THE MUNDER MULTI-SEASON FUND, LUCENT TECHNOLOGIES, GENERAL ELECTRIC, BELL ATLANTIC AND AT&T COMMON STOCKS, AND THE PURCHASE OF THE CHARTWELL DIVIDEND AND INCOME FUND. IN ADDITION, MERRILL LYNCH CREDITED [CUSTOMER] $165.00.
Date: January 21, 1999 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT AGENT CONDUCTED MARGINTRADES IN HER ACCOUNT WITHOUT HER AUTHORIZATION. CLAIMANTSEEKING DAMAGES TOTALING $100,000.00. COMMON STOCK. THISOCCURRED AT PREVIOUS FIRM Damage Amount Requested: $100,000.00 Settlement Amount: $77,500.00 Broker Comment: NOT PROVIDEDTHE ALLEGATIONS ARE FALSE AND THE CLAIMS AREBEING DISPUTED.
Date: February 10, 1998 Category: Customer Dispute Allegations: THE CLIENT CLAIMS THAT HE LOST ALMOST$28,000.00 DUE TO MISINFORMATION AND ADVICES FROM HIS BROKER.COMMON STOCK. THIS OCCURRED AT PREVIOUS EMPLOYER Damage Amount Requested: $28,000.00 Broker Comment: BASED UPON THE FIRMS INVESTIGATION ALL CLAIMSWERE DENIED AND THE FIRM BELIEVES THAT THE CLIENTS ACCOUNT WERESERVICED IN ACCORDANCE WITH THE CLIENTS INSTRUCTONS.WITH REGARDS TO MY PREVIOUS FILINGS, THEY WERE INERROR. CUSTOMER HAS ONLY FILED ONE COMPLAINT AGAINST ME ANDTHAT WAS ALONG WITH OTHER CUSTOMER ON FEBRUARY 10, 1998. THISMATTER HAS SINCE BEEN CLOSED AND THERE ARE NO OTHER EXISTINGCOMPLAINTS FILED BY EITHER CUSTOMER OR OTHER CUSTOMER.
Date: February 10, 1998 Category: Customer Dispute Allegations: THE CLIENT CLAIMS THAT HER BROKER PURCHASEDAND SOLD STOCKS IN HER ACCOUNT WITHOUT HER PERMISSION. COMMONSTOCK, ALLEGES HER ACCOUNT DECLINED OF $19,888 Damage Amount Requested: $19,888.00 Broker Comment: N/ATHE ALLEGATIONS ARE FALSE.
Date: August 26, 1992 Category: Criminal Charges: CHARGE-TAKING PROPERTY W/O RIGHT, COUNTU054-MISDEMEANOR CHARGE-ATT. TAKING PROPERTY W/O RIGHT, COUNTU405-MISDEMEANOR Disposition: COUNT U054-NOT GUILTY PLEA--NO PAPERED ON08/26/1992, COUNT U405- NOT GUILTY PLEA ON 02/24/1993-NOLLEPROSEQUI----COMPLETED DIVERSION PROGRAM-CASE CLOSED Broker Comment: Not Provided
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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