JACQUIN P FINK is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 75 ROCKEFELLER PLZ, NEW YORK, NY, 10019.
JACQUIN P FINK has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978
Disclosure History
JACQUIN P FINK has 9 Disclosure Event(s).
Date: January 22, 2018 Category: Customer Dispute Allegations: The customer alleges unsuitable investments. Damage Amount Requested: $500,000.00
Date: November 20, 2017 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations and omission of material facts from December 2007 to October 2016. Damage Amount Requested: $300,000.00
Date: July 14, 2016 Category: Customer Dispute Allegations: he Customer, through her Attorney-in-Fact, alleges unsuitable investment recommendations from November 2014 to July 2016. Settlement Amount: $205,732.34
Date: April 18, 2016 Category: Customer Dispute Allegations: The Customers allege unsuitable investment recommendations, excessive trading and misrepresentation and omission of material facts from October 2013 to January 2016. Damage Amount Requested: $581,144.10 Settlement Amount: $402,500.00
Date: April 13, 2016 Category: Customer Dispute Allegations: The Customer alleges unsuitable investment recommendations and misrepresentation in August 2015. Settlement Amount: $30,000.00 Broker Comment: This matter was settled in order to avoid the cost and uncertainty of litigation. The Financial Advisor did not contribute monetarily towards the settlement.
Date: November 15, 2015 Category: Customer Dispute Allegations: The Customers allege unsuitable investment recommendations from October 2012 to August 2014. Settlement Amount: $106,092.75
Date: September 07, 2011 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES AGRESSIVE TRADING AND MISREPRESENTATION FROM FEBRUARY 2005 TO DECEMBER 2010. COMPENSATORY DAMAGES ARE NOT SPECIFIED. Settlement Amount: $1,729,000.00
Date: July 13, 2010 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES EXCESSIVE TRADING, UNSUITABLE INVESTMENT RECOMMENDATIONS AND UNAUTHORIZED TRADING FROM JANUARY 2005 TO APRIL 2010. Damage Amount Requested: $257,979.00 Settlement Amount: $200,000.00
Date: July 12, 1994 Category: Customer Dispute Allegations: CLAIMS OF UNSUITABILITY AND CHURING. LOSSESIN EXCESS OF $135,000 ARE ALLEGED. Settlement Amount: $55,000.00 Broker Comment: CLAIM SETTLED FOR $55,000ALL CLAIMS OF WRONGDOING ARE DENIED. CLAIMSETTLED TO AVOID THE UNCERTAINTIES AND EXPENSES OF ANANTICIPATED LENGHTY ARBITRATION.
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.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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