John A Frost

John A Frost is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 4811 GAILLARDIA PKWY, OKLAHOMA CITY, OK, 73142.

John A Frost has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since May 24, 1979

Disclosure History

John A Frost has 1 Disclosure Event(s).

Date: September 14, 2001
Category: Customer Dispute
Allegations: CLIENT CLAIMS INVESTMENT WAS UNSUITABLE.
Damage Amount Requested: $8,000.00
Settlement Amount: $2,171.00
Broker Comment: CLIENT RECIEVED APPROXIMATELY $16,146.00 IN INTEREST PAYMENTS FROM THE INVESTMENT IN QUESTION.THE MATER WAS SETTLED AS A BUSINESS DECISION TO AVOID THE TIME AND EXPENSE OF LITIGATION.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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