KEVIN WAYNE NICELEY is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 510 E 96TH ST, INDIANAPOLIS, IN, 46240.
KEVIN WAYNE NICELEY has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since March 19, 2009
Disclosure History
KEVIN WAYNE NICELEY has 3 Disclosure Event(s).
Date: March 25, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGED SUITABILITY. (CLIENT ALLEGED SUITABILITY. (DAMAGES NOT SPECIFIED, BUT BELIEVED TO EXCEED $5,000)(01/01/2008 - 03/25/2009).
Date: November 04, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGED SUITABILITY AND MISREPRESENTATION.(11/26/2007 - 10/02/2008) Damage Amount Requested: $10,000.00
Date: November 22, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGES HE WAS "MISINFORMED" WITH RESPECT TO HIS PURCHASE OF A MUTUAL FUND IN 10/99. THIS MATTER WAS NOT REPORTABLE PRIOR TO PSI'S RECEIPT OF CORRESPONDENCE ON 1/28/00 ALLEGING DAMAGES IN EXCESS OF $5,000.00. Damage Amount Requested: $6,000.00 Broker Comment: PSI DENIED THE CLAIM.
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