JUNE ANN SABAH

JUNE ANN SABAH is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 114 W 47TH ST, NEW YORK, NY, 10036.

JUNE ANN SABAH has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 28, 2011

Disclosure History

JUNE ANN SABAH has 3 Disclosure Event(s).

Date: September 14, 2015
Category: Customer Dispute
Allegations: The Customer alleges unsuitable investment recommendations from October 2014 to November 2014.

Date: June 20, 2005
Category: Customer Dispute
Allegations: ALLEGES UNSUITABLE ADVICE AND BREACH OF FIDUCIARY DUTY AND NEGLIGENCE BEGINNING AUGUST 1, 2000.
Damage Amount Requested: $34,722.00
Settlement Amount: $23,525.00

Date: August 15, 2002
Category: Customer Dispute
Allegations: SEEKS DAMAGES FOR LOSSES THAT SHE ALLEGES RESULTED FROM UNSUITABLE SECURITIES THAT SHE PURCHASED AT THE RECOMMENDATION OF HER FC'S.ALLEGED DAMAGES - UNSPECIFIED
Settlement Amount: $75,000.00
Broker Comment: [THIRD PARTY] IS HANDLING THIS MATTER.

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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