IAN HUGH GORDON ROGERS is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1211 SW 5TH AVE, PORTLAND, OR, 97204.
IAN HUGH GORDON ROGERS has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since August 19, 1986
Disclosure History
IAN HUGH GORDON ROGERS has 2 Disclosure Event(s).
Date: June 05, 2002 Category: Customer Dispute Allegations: THE FEDERAL ACTION HAS BEEN STAYED AND A STATEMENT OF CLAIM FILED WITHT HE NASD. THEREIN CLAIMANT ALLEGES THAT HER FORMER FA DID NOT INVEST HER SUITABLY AND CHURNED NER ACCOUNTS. Damage Amount Requested: $400,000.00 Settlement Amount: $95,000.00 Broker Comment: MERRILL LYNCH AND THE FINANCIAL ADVISOR DENY THE ALLEGATIONS.
Date: March 16, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGES FC'S RECOMMENDATIONS WERE MISREPRESENTED AND UNSUITABLE. Damage Amount Requested: $250,000.00 Settlement Amount: $101,200.00 Broker Comment: THE MATTER WAS SETTLED TO AVOID THE COST AND UNCERTAINTY OF LITIGATION.
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