JOHN WILLIAM BOUKAMP

JOHN WILLIAM BOUKAMP is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 39577 WOODWARD AVE, BLOOMFIELD HILLS, MI, 48304.

JOHN WILLIAM BOUKAMP has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 05, 2008

Disclosure History

JOHN WILLIAM BOUKAMP has 10 Disclosure Event(s).

Date: November 01, 2013
Category: Customer Dispute
Allegations: A CO-TRUSTEE ALLEGES EXCESSIVE TRADING AND UNSUITABLE INVESTMENT RECOMMENDATIONS FROM DECEMBER 2011 TO SEPTEMBER 2013.

Date: October 16, 2013
Category: Customer Dispute
Allegations: THE CUSTOMERS ALLEGE UNSUITABLE INVESTMENT RECOMMENDATIONS AND UNAUTHORIZED TRADING IN JUNE 2012 AND SEPTEMBER 2012. ALLEGATION ACTIVITY PERIOD FROM 6/1/2012 TO 9/30/2012.
Damage Amount Requested: $522,000.00
Settlement Amount: $275,000.00 13-03655

Date: January 14, 2009
Category: Customer Dispute
Allegations: CLIENTS ALLEGE FA DID NOT ACT IN CLIENTS' BEST INTEREST WHEN RECOMMENDING INVESTMENTS - 3/1/2004. DAMAGES UNSPECIFIED.
Broker Comment: CLAIM DENIED

Date: September 29, 2008
Category: Customer Dispute
Allegations: ALLEGED FA FAILED TO PROVIDE CLAIMANT WILL ALL THE PROPER OPTIONS RELATING TO AN ANNUITY PURCHASED 01/01/03.

Date: April 25, 2008
Category: Customer Dispute
Allegations: CLIENT COMPLAINS ABOUT THE PERFORMANCE OF CITIGROUP PROPRIETARY ALTERNATIVE INVESTMENT PRODUCTS THAT SUSTAINED SIGNIFICANT DECLINE DURING RECENT VOLATILE MARKETS. CLIENT ALLEGES THAT THE PRODUCTS WERE MISREPRESENTED. DAMAGES UNSPECIFIED

Date: July 06, 2007
Category: Customer Dispute
Allegations: CLIENT'S ATTORNEY ALLEGED FA FAILED TO ADVISE CLIENT OF ALL RENEWAL PROVISIONS AT THE END OF THE GUARANTEE PERIOD OF ANNUITY-AUGUST 2006.
Damage Amount Requested: $60,000.00
Broker Comment: CLAIM DENIED.

Date: July 01, 2003
Category: Customer Dispute
Allegations: CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS - 2002.
Damage Amount Requested: $70,000.00
Settlement Amount: $8,000.00
Broker Comment: THE CLAIM WAS SETTLED FOR $8,000.

Date: July 30, 2001
Category: Customer Dispute
Allegations: ALLEGES FC MISMANAGED HER ACCOUNT. LOSSES ARE UNSPECIFIED.
Broker Comment: THOMAS MIERSWA IS HANDLING THIS MATTER.

Date: January 25, 2001
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED UNSUITABILITY WITH REGARD TO EQUITIES. JANUARY 2000 THROUGH JANUARY 2001. ALLEGED DAMAGES UNSPECIFIED.
Broker Comment: THE CLIENT'S CLAIM WAS DENIED.

Date: October 21, 1993
Category: Customer Dispute
Allegations: THE ABOVE CLIENT(S) SUBMITTED CLAIM FORM(S)TO THE CLAIMS RESOLUTION PROCESS RELATING TO LIMITEDPARTNERSHIP PURCHASE(S) DURING THE PERIOD: 3/86-5/86. THE ABOVEMENTIONED REGISTERED REPRESENTATIVE WAS THE BROKER OF RECORD ATTHE TIME OF THE PURCHASE(S). NO DAMAGES WERE ALLEGED BUT THEAMOUNT(S) ACTUAL LOSS (OUT-OF-POCKET) IS/ARE APPROXIMATELY$16,300.
Damage Amount Requested: $16,300.00
Settlement Amount: $25,984.00
Broker Comment: SETTLEMENT(S) WITH THE ABOVE CLIENT(S) HAS/HAVEBEEN REACHED IN THE CLAIMS RESOLUTION PROCESS THE DOLLARAMOUNT(S) OF THE SETTLEMENT(S) IS/ARE APPROXIMATELY $25,984.THIS MATTER RESULTED FROM THE UNPRECEDENTED,UNSOLICITED, MAKING OF CLAIM FORMS BY PSI TO OVER 340,000INVESTORS WHO PURCHASED LIMITED PARTNERSHIPS THROUGH PSI FROMJAN 1,1980 TO JAN 1,1991. THE ABOVE REFERENCE CLIENT(S)FORM(S) WAS/WERE EVALUATED BY PSI IN ACCORDANCE WITH THESTANDARDS ESTABLISHED UNDER THE SETTLEMENT BETWEEN PSI, THESFC, NASD AND THE STATE SECURITIES ADMINISTRATORS. THEREPORTED SETTLEMENT(S) AROSE OUT OF THIS UNIQUE PROCESS.

More Information

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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.

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