JOSEPH KASELL

JOSEPH KASELL is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 200 PARK AVE, NEW YORK, NY, 10166.

JOSEPH KASELL has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since May 16, 1994

Disclosure History

JOSEPH KASELL has 2 Disclosure Event(s).

Date: August 15, 2007
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT THE FINANCIAL ADVISOR DID NOT DISCLOSE FEES ASSOCIATED WITH MUTUAL FUNDS AND DID NOT FOLLOW HIS INSTRUCTIONS.
Damage Amount Requested: $24,175.00
Broker Comment: MERRILL LYNCH FOUND DR. GAL'S CLAIMS TO BE WITHOUT MERIT.

Date: October 30, 2001
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT HE DID NOT AUTHORIZE THE PURCHASE OF CONVERGYS OR MEDTRONIC. THESE TRANSACTIONS TOOK PLACE ON 12/27/00. NO SPECIFIC DAMAGES ALLEGED.
Broker Comment: THE CLAIM HAS BEEN DENIED AND IS BELIEVED TO BE WITHOUT MERIT.

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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