Judith L Werbitt

Judith L Werbitt is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 360 HAMILTON AVE, WHITE PLAINS, NY, 10601.

Judith L Werbitt has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978

Disclosure History

Judith L Werbitt has 2 Disclosure Event(s).

Date: August 03, 2010
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS FROM JANUARY 2004 TO DECEMBER 2008.
Damage Amount Requested: $405,766.00
Broker Comment: THIS COMPLAINT IS BEREFT OF MERIT. MERRILL LYNCH AND MS. WERBITT DENY ANY WRONGDOING PERTAINING TO THE TRANSACTIONS AT ISSUE. BASED UPON COMPLAINANT'S INVESTMENT OBJECTIVES, EACH TRANSACTION IN HER ACCOUNT WAS SUITABLE AND APPROPRIATE.

Date: June 26, 2007
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT FINANCIAL ADVISOR USED MARGIN IN HER ACCOUNT WITHOUT HER PERMISSION.
Damage Amount Requested: $11,546.00

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.

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

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