LELA SUZANNE BAYLEY is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1435 RIVER PARK DR, SACRAMENTO, CA, 95815.
LELA SUZANNE BAYLEY has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since January 01, 1984
Disclosure History
LELA SUZANNE BAYLEY has 2 Disclosure Event(s).
Date: September 22, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE VARIABLE ANNUITY WAS MISREPRESENTED AT THE TIME OF PURCHASE. NO SPECIFIC DAMAGES ALLEGED. Broker Comment: THE CLIENT'S ALLEGATIONS WERE FOUND TO BE WITHOUT MERIT AND THE COMPLAINT WAS DENIED.
Date: June 16, 1991 Category: Customer Dispute Allegations: CLAIMANTS ALLEGED MISREPRESENTATION WITHRESPECT TO THE SALE OF SECURITIES AND REINVESTMENT OF THEPROCEEDS CREATED A TAX LIABILITY AND REDUCED INCOME AND SOUGHTCOMPENSATORY DAMAGES IN EXCESS OF $60,000 AND PUNITIVE DAMAGES Settlement Amount: $15,000.00 Broker Comment: THE CLAIM WAS SETTLED FOR $15,000 NO PART OFWHICH WAS PAID BY THE FINANCIAL CONSULTANT. THE CLAIM HAD BEENINITIATED AS A LAWSUIT AND THE PARTIES SUBSEQUENTLY AGREED TOABRITRATION AT THE AMERICAN STOCK EXCHANGE.Not Provided
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