JAMES F O'SULLIVAN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1152 15TH ST NW, WASHINGTON, DC, 20005.
JAMES F O'SULLIVAN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since May 02, 2001
Disclosure History
JAMES F O'SULLIVAN has 1 Disclosure Event(s).
Date: July 17, 1995 Category: Customer Dispute Allegations: UNSUITABLE INVESTMENT IN PILGRIMAGEADJUSTABLE RATE SECURITIES TRUST IV. DAMAGES OF $85,654.78CLAIMED. Damage Amount Requested: $85,654.78 Settlement Amount: $60,000.00 Broker Comment: MERRILL LYNCH PAID $60,000 IN FULL SETTLEMENT OFCLAIM. IT WAS DETERMINED THAT THE PILGRIM FUND WAS CONCENTRATEDIN ONE OF THE CLAIMANTS' ACCOUNTS.MR. O'SULLIVAN'S U-4 WAS NOT AMENDED WITHIN 30DAYS OF RECEIPT OF THE COMPLAINT BECAUSE MERRILL LYNCH WASINVESTIGATING THE MATTER TO DETERMINE IF THE PROBLEM WAS WITHTHE PRODUCT EXCLUSIVELY OR IF A REPORTABLE EVENT HAD OCCURRED.
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