JOHN JAMES FORSTER 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.
JOHN JAMES FORSTER has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 22, 2012
Disclosure History
JOHN JAMES FORSTER has 5 Disclosure Event(s).
Date: March 22, 2018 Category: Customer Dispute Allegations: CLIENT ALLEGES, INTER ALIA, HE DID NOT AUTHORIZE THE TRANSFER OF FUNDS TO PROCESS COMMODITY TRADES - 7/26/2011 - 5/01/2012. DAMAGES UNSPECIFIED.
Date: September 23, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGED, INTER ALIA, THAT THE RISKS ASSOCIATED WITH THE INVESTMENT STRATEGY WERE MISREPRESENTED MAY 2011.
Date: December 29, 2009 Category: Customer Dispute Allegations: CLAIMANT ALLEGES, INTER ALIA, THAT FROM JUNE OF 1996 THROUGH MARCH OF 2009 THE FINANCIAL ADVISOR MISMANAGED HER ACCOUNT THROUGH THE IMPROPER IMPLEMENTATION OF A MARGIN BALANCE. CLAIMANT ALLEGES THAT THE FINANCIAL ADVISOR MAINTAINED AN UNSUITABLE ASSET ALLOCATION IN HER ACCOUNT. Damage Amount Requested: $4,000,000.00 Settlement Amount: $750,000.00 09-06992
Date: December 09, 2004 Category: Customer Dispute Allegations: CLAIMANT ALLEGES BROKER LOST MONEY IN ACCOUNT OVER A THREE YEAR PERIOD BEGINNING IN 2001.ALLEGED DAMAGES - UNSPECIFIED
Date: January 29, 2001 Category: Customer Dispute Allegations: ALLEGES SECURITIES WERE SOLD WITHOUT HIS KNOWLEDGE OR CONSENT. Damage Amount Requested: $1,000,000.00 Broker Comment: THOMAS MIERSWA(212) 783-5802
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