JAMES HERON COLLINS

JAMES HERON COLLINS is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 445 NORTH BLVD, BATON ROUGE, LA, 70802.

JAMES HERON COLLINS has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 01, 1998

Disclosure History

JAMES HERON COLLINS has 2 Disclosure Event(s).

Date: November 08, 2002
Category: Customer Dispute
Allegations: CLAIMANTS ALLEGED THAT THEIR FUNDS WERE INVESTED IN UNSUITABLE, HIGH RISK SECURITIES.
Damage Amount Requested: $500,000.00
Settlement Amount: $37,500.00
Broker Comment: THIS MATTER WAS SETTLED TO AVOID THE TIME, EXPENSE AND UNCERTAINTY INHERENT IN LITIGATION.

Date: July 29, 1999
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT BROKER REMMENDED A STOCK RATHER THAN A BLUE CHIP. CUSTOMER STATES SHE REQUESTED A BLUE CHIP.
Damage Amount Requested: $6,433.02
Settlement Amount: $6,433.02

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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