KEITH ROBERT GERARD CONKLIN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 200 CONCORD PLAZA DR, SAN ANTONIO, TX, 78216.
KEITH ROBERT GERARD CONKLIN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since February 13, 2015
Disclosure History
KEITH ROBERT GERARD CONKLIN has 2 Disclosure Event(s).
Date: November 07, 2011 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: PERSONAL CH. 7 FILED DUE TO THE FAILURE OF ST. BERNARD OPEN MRI & IMAGING CENTER, LLC. I WAS A 50% OWNER OF THE LLC. I WAS NOT IN A POSITION OF CONTROL OR MANAGEMENT AT THE TIME OF THE FAILURE. THE BUSINESS FAILED AS A RESULT OF CATASTROPHIC DAMAGE TO THE EQUIPMENT WHICH WAS NOT COVERED BY INSURANCE. THE JUDGMENT AGAINST ME, OBTAINED BY FIRST BANK & TRUST, WAS THE RESULT OF THE BANK SUING TO ENFORCE A PERSONAL GUARANTEE ON BUSINESS LOANS THAT TOTALED OVER $775,000. I WAS REQUIRED TO SUBMIT ANNUAL PERSONAL FINANCIAL STATEMENTS TO THE BANK AS PART OF THE LOAN COVENANTS. AT THE TIME THE SUIT WAS FILED AND JUDGMENT OBTAINED, THE BANK WAS AWARE THAT I WAS PERSONALLY UNABLE TO MEET THIS GUARANTEE.
Date: February 23, 2000 Category: Customer Dispute Allegations: THE EXECUTOR OF THE ESTATE ALLEGES $183,273.12 LOSSES OCCURRING DURING THE PERIOD OF OCTOBER 13TH 1998- NOVEMBER 1999, AS A RESULT OF THE BROKER'S ALLEGED FAILURE TO FOLLOW EXECUTOR'S INSTRUCTIONS. Damage Amount Requested: $183,273.12 Settlement Amount: $26,915.00 Broker Comment: THIS COMPLAINT WAS SETTLED FOR BUSINESS REASONS AND FOR LESS THAN THE COST OF LITIGATION. THE AGREEMENT WAS MADE WITHOUT MY KNOWLEDGE OR CONSENT AND AMOUNTED TO LESS THAN 2.25% OF THE PORTFOLIO'S LIQUIDATED VALUE. THE FIRM CONCLUDED THAT I CONDUCTED MYSELF PROPERLY AND PROFESSIONALLY AND AS A RESULT I WAS NOT ASKED TO PARTICIPATE FINANCIALLY IN THE SETTLEMENT.
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