JOHN ALLEN NEUENSCHWANDER is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 51 BROADWAY, FARGO, ND, 58102.
JOHN ALLEN NEUENSCHWANDER has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since June 30, 1982
Disclosure History
JOHN ALLEN NEUENSCHWANDER has 1 Disclosure Event(s).
Date: November 25, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR MADE AN UNSUITABLE INVESTMENT RECOMMENDATION. Damage Amount Requested: $10,313.00 Broker Comment: MERRILL LYNCH AND MR. NEUENSCHWANDER DENIED THE CLIENT'S ALLEGATIONS IN THEIR ENTIRETY. CLIENT ADMITTED GIVING FINANCIAL ADVISOR $30,000 TO PURCHASE A QUALITY MUNICIPAL BOND. THE BONDS IN QUESTION WERE RATED AAA AND JUDGED HIGH QUALITY BY BOTH MOODY'S AND STANDARD & POOR'S. BOND WAS ALSO RECOMMENDED AS CONSISTENT WITH CLIENT'S MUNICIPAL BOND INVESTMENT HISTORY.
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