James R Mounier is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 6958 SPRING CREEK RD, ROCKFORD, IL, 61114.
James R Mounier has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since March 16, 1989
Disclosure History
James R Mounier has 2 Disclosure Event(s).
Date: May 02, 2002 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT FINANCIAL ADVISOR INVESTED HER IN UNSUITABLE MUTUAL FUND. Damage Amount Requested: $38,032.00 Broker Comment: THE CLAIM IS DEEMED TO BE WITHOUT MERIT.
Date: May 15, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES MR. MOUNIER SHOULD NOT HAVE RECOMMENDED SUCH A RISKY INVESTMENT BECAUSE OF THE CLIENT'S AGE. Damage Amount Requested: $15,000.00 Broker Comment: THE CLAIM IS DEEMED TO BE WITHOUT MERIT.
More Information
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