James PATRICK Hart is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 69 STATE ST, ALBANY, NY, 12207.
James PATRICK Hart has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since December 03, 2010
Disclosure History
James PATRICK Hart has 2 Disclosure Event(s).
Date: May 29, 2003 Category: Customer Dispute Allegations: NEW JERSEY RESIDENTS HAVE COMPLAINED THAT THEIR FUNDS WERE UNSUITABLY INVESTED IN STOCKS FROM MARCH 2000 THROUGH 2002. THEY ALSO CLAIM THAT THEIR ACCOUNT WAS EXCESSIVELY TRADED AND THAT THE RECOMMENDATION THAT THEY USE MARGIN WAS UNSUITABLE. THEY HAVE CLAIMED FINANCIAL DAMAGES OF $156,000. Damage Amount Requested: $156,000.00 Damages Granted: $61,071.00 Broker Comment: ARBITRATION ALLEGATIONS: CLIENTS ALLEGE UNSUITABLE AND EXCESSIVE TRADING OF EQUITIES ON MARGIN. AWARD TO CLAIMANTS IN THE AMOUNT OF $61,070 PLUS POST-JUDGMENT INTEREST AT 8%.
Date: September 19, 1994 Category: Regulatory Initiated By: IDAHO DEPARTMENT OF FINANCE Allegations: OFFER OF SECURITIES WHILE NOT PROPERLYLICENSED Resolution: Order SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $1,000.00 Sanction Details: AGREEMENT AND ORDERED ENTERED COINCIDENT WITHORDER 1992-7-48 ENTERED WITH PRUDENTIAL SECURITIES INC. HART 1)ADMITTED TO A VIOLATION OF THE IDAHO REGISTRATION REQUIREMENTSAND 2) PAID A $1000 FINE. Broker Comment: NOT PROVIDED
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for James PATRICK Hart, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.