JAMES DENNIS PERWIEN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 600 ROCKMEAD DR, KINGWOOD, TX, 77339.
JAMES DENNIS PERWIEN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978
Disclosure History
JAMES DENNIS PERWIEN has 2 Disclosure Event(s).
Date: December 01, 1998 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT THE PURCHASED OFTHE MERRILL LYNCH CORPORATE BOND FUND HIGH YIELD WAS UNSUITABLEFOR HIS ACCOUNT. CUSTOMER CLAIMED DAMAGES OF $31,071.66. THIS OCCURRED AT MERRILL LYNCH. Damage Amount Requested: $31,071.66 Broker Comment: MERRILL LYNCH DENIED CUSTOMER'S CLAIMMERRILL LYNCH BELIEVES THAT THE MERRILL LYNCHCORPORATE HIGH YIELD FUND WAS SUITABLE FOR CUSTOMER'SACCOUNT BASED ON HIS STATED INVESTMENT OBJECTIVE OF TOTALRETURN AND MODERATE RISK TOLERANCE. IN ADDITION, CUSTOMER PREVIOUSLY MADE UNSOLICITED PURCHASES OF OTHER HIGHYIELD BOND FUNDS.
Date: April 08, 1998 Category: Customer Dispute Allegations: CUSTOMER CLAIMS MISMANAGEMENT OF HER ACCOUNTBY FINANCIAL CONSULTANT IN TRADING COMPAQ OPTIONS. DAMAGES OF$552,774.27 CLAIMED Damage Amount Requested: $552,774.27 Settlement Amount: $150,000.00 Broker Comment: MERRILL LYNCH AGREED TO PAY $150,000.00 TO AVOIDA LENGTHY ARBITRATION PROCEEDINGTHE PREVIOUSLY SUBMITTED DRP REGARDING [CUSTOMER] WAS MISTAKENLY REPORTED AS A SETTLED CUSTOMERCOMPLAINT UNDER QUESTION #22H(2)
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