KRISTIN GILLIS LONG

KRISTIN GILLIS LONG is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1 PARK PL, ANNAPOLIS, MD, 21401.

KRISTIN GILLIS LONG has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since August 25, 2006

Disclosure History

KRISTIN GILLIS LONG has 1 Disclosure Event(s).

Date: October 23, 2008
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR INVESTED IN A PRIVATE PLACEMENT WITHOUT HIS AUTHORIZATION.
Damage Amount Requested: $200,000.00
Settlement Amount: $86,558.00
Broker Comment: INVESTMENT WAS A PRIVATRE PLACEMENT, NOT PUBLICALLY TRADED. MERRILL LYNCH TOOK ASSIGNMENT OF THE INVESTMENT AND CREDITED THE CUSTOMER FOR THE INVESTMENT AMOUNT. THE INVESTMENT WILL BE REDEEMED NEXT QUARTER. SETTLEMENT AMOUNT INCLUDES THE ESTIMATED VALUE OF THE INVESTMENT FOR LOST MONEY MARKET INTEREST ON THE FUNDS AND INCONVENIENCE.

More Information

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