GARY EUGENE MORGAN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 3920 ARKWRIGHT RD, MACON, GA, 31210.
GARY EUGENE MORGAN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since January 10, 2005
Disclosure History
GARY EUGENE MORGAN has 5 Disclosure Event(s).
Date: March 13, 2014 Category: Customer Dispute Allegations: THE CUSTOMER, THROUGH HER ATTORNEY IN FACT, ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION FROM JUNE 2008 TO DECEMBER 2008. Settlement Amount: $56,250.00
Date: March 11, 2014 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS FROM JULY 2008 TO SEPTEMBER 2008. Damage Amount Requested: $250,000.00 Settlement Amount: $90,000.00 Broker Comment: THE FINANCIAL ADVISOR DENIES THE ALLEGATIONS IN THE STATEMENT OF CLAIM. THIS MATTER WAS SETTLED FOR BUSINESS REASONS TO AVOID THE EXPENSE AND UNCERTAINTY OF LITIGATION. THE FINANCIAL ADVISOR DID NOT CONTRIBUTE TO THE SETTLEMENT.
Date: December 07, 2012 Category: Customer Dispute Allegations: EXECUTOR OF ESTATE ALLEGES FINACIAL ADVISOR COMMITTED FRAUD AND BREACHED HIS FIDUCIARY RESPONSIBILITY TO HER MOTHER. EXECUTOR FURTHER ALLEGES FINANCIAL ADVISOR PURCHASED UNSUITABLE INVESTMENTS IN HER ACCOUNT CONSIDERING HER AGE. EXECUTOR ALSO ALLEGES FINANCIAL ADVISOR FAILED TO DISCLOSE FEES AND COMMISSIONS ASSOCIATED WITH INVESTMENT AND MADE MISREPRESENTATIONS. TIME FRAME: JANUARY 1996- DECEMBER 2012
Date: January 24, 2008 Category: Customer Dispute Allegations: ALLEGES MISINFORMATION WHICH CAUSED MONETARY DAMAGES DUE TO THE MANDATORY DEDUCTION REQUIREMENT. DAMAGES ARE NOT SPECIFIED BUT ARE ESTIMATED TO BE ABOVE $5000.00 (4/2002)
Date: March 04, 2005 Category: Customer Dispute Allegations: ALLEGES TRANSACTIONS WERE REPORTED AS THOUGH CLIENTS RECEIVED THE MONEY INSTEAD OF BEING ROLLED OVER AS REQUESTED. (2003 TAXES). Damage Amount Requested: $5,351.00 Settlement Amount: $5,351.00
More Information
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