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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