MARK EBEN LILLEY is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 15 2ND ST / 15 CALLE 2, GUAYNABO, PR, 00968.
MARK EBEN LILLEY has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 22, 2008
Disclosure History
MARK EBEN LILLEY has 3 Disclosure Event(s).
Date: May 12, 2016 Category: Customer Dispute Allegations: The Customers allege unsuitable investment recommendations and misrepresentation and omission of material facts from 2012 to 2016. Damage Amount Requested: $100,000.00
Date: April 05, 2016 Category: Customer Dispute Allegations: The customer alleges unsuitable investment recommendations and misrepresentation and omission of material facts. Damage Amount Requested: $500,000.00 Settlement Amount: $96,000.00 Broker Comment: UBS settled the arbitration for $25,000 on 1/25/2017. The arbitration remains pending as to Merrill Lynch.
Date: August 05, 2014 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION AND OMISSION OF MATERIAL FACTS FROM 2000 TO MAY 2014. Damage Amount Requested: $666,795.00 Settlement Amount: $25,000.00
More Information
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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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