HENRY SULLIVAN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 601 POYDRAS ST, NEW ORLEANS, LA, 70130.
HENRY SULLIVAN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since November 10, 1978
Disclosure History
HENRY SULLIVAN has 5 Disclosure Event(s).
Date: December 22, 2009 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES MISREPRESENTATION FROM OCTOBER 2007 TO DECEMBER 2009. COMPENSATORY DAMAGES ARE UNSPECIFIED. Broker Comment: THE CUSTOMER'S CLAIMS WERE FOUND TO BE WITHOUT MERIT AND WERE THEREFORE DENIED.
Date: October 27, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT MODIFIED GUARANTEED ANNUITIES PURCHASED BY THE CLIENT WERE UNSUITABLE INVESTMENTS. Damage Amount Requested: $105,294.00 Broker Comment: THE CLIENT'S ALLEGATIONS WERE FOUND TO BE WITHOUT MERIT AND THE COMPLAINT WAS DENIED.
Date: May 13, 1998 Category: Regulatory
Date: December 20, 1996 Category: Customer Dispute Allegations: UNSUITABLE INVESTMENT Settlement Amount: $275,000.00 Broker Comment: MERRILL LYNCH SETTLED WITH THE CUSTOMER FOR$275,000.PLEASE BE ADVISED THAT MR JOSEPH G PRECHTER,SUPERVISOR OF EXAMINERS AND ANTHONY GOGNEVICH, COMPLAINCESPECIALIST OF THE NASD, DISTRICT 5, NEW ORLEANS, LA AREINVESTIGATING THIS MATTER AND HAVE BEEN DISCUSSING THIS MATTERWITH COUNSEL FOR THE FIRM.
Date: March 12, 1996 Category: Customer Dispute Allegations: CLIENT ALLEGES TAHT HER MERRILL LYNCHFINANCIAL CONSULTANT TOLD HER TO TAKE A LOAN FROM HER VARIABLELIFE INSURANCE POLICY TO PURCHASE AN ANNUITY WITHOUT EXPLAININGALL COSTS ASSOCIATED WITH THIS PROCEDURE. Broker Comment: MERRILL LYNCH RESCINDED THE PURCHASE OF THEANNUITY AND APPLIED ALL VAUES IN THE ANNUITY TO PAY THE LOANFROM THE VARIABLE LIFE INSURANCE POLICY. THE REQUIRED MERRILLLYNCH TO ADD APPROXIMATELY $17,766 TO THE CASH VALUE OF THEVARIABLE LIFE INSURANCE POLICY TO REFLECT THE PERFORMANCE OFTHE POLICY WHEN THE LOAN INTEREST WERE OUTSTANDING.Not Provided
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