LUIS ANTONIO EHLERS

LUIS ANTONIO EHLERS is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 701 BRICKELL AVE, MIAMI, FL, 33131.

LUIS ANTONIO EHLERS has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since January 02, 2009

Disclosure History

LUIS ANTONIO EHLERS has 2 Disclosure Event(s).

Date: May 08, 2007
Category: Customer Dispute
Allegations: UNAUTHORIZED TRADING
Damage Amount Requested: $4,017,333.65

Date: January 12, 2000
Category: Customer Dispute
Allegations: CLIENTS ALLEGED THAT THE HOLDINGS IN THEIR ACCOUNT WERE UNSUITABLE AND THAT THE FA FAILED TO FOLLOW INSTRUCTIONS. TIME PERIOD 1998-1999
Damage Amount Requested: $2,500,000.00

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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