JAMES G BOWMAN

JAMES G BOWMAN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 101 BULLITT LN, LOUISVILLE, KY, 40222.

JAMES G BOWMAN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since June 27, 2007

Disclosure History

JAMES G BOWMAN has 2 Disclosure Event(s).

Date: July 15, 2003
Category: Customer Dispute
Allegations: CLIENT ALLEGES FC FAILED TO FOLLOW INSTRUCTIONS2000DAMAGES UNSPECIFIED
Broker Comment: CLAIM DENIED.

Date: April 24, 1997
Category: Customer Dispute
Allegations: SUITABILITY;MISREPRESENTATION (FRAUD) ALLEGEDDAMAGES - $133,676.66
Damage Amount Requested: $133,676.66
Settlement Amount: $32,447.00
Broker Comment: WITHOUT ADMITTING ANY OF THE ALLEGATIONS, THEFIRM SETTLED THIS MATTER FOR $25,447.00 MADE PAYABLE TO [CUSTOMER] AND $7,000.00 MADE PAYABLE TO [CUSTOMER], A TOTAL OF$32,447.00CLAIMANTS WHO ARE BROTHER AND SISTER, COMMENCEDTHIS ARBITRATION, SEEKING DAMAGES OF $133,676.66. CLAIMANTS DIDNOT ALLEGE, NOR COULD THEY ANY TRADES WERE UNAUTHORIZED. ALLTRADES WERE DISCUSSED WITH AND APPROVED BY CLAIMANTS. FORBUSINESS AND ECONOMIC REASONS THE FIRM DECIDED TO SETTLE THISMATTER. THE FC WAS NOT ASKED TO CONTRIBUTE TO THE SETTLEMENT.CONTACT: [BROKER DEARLER CONTACT PERSON] 816-7613

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