Mark W Thorndyke

Mark W Thorndyke is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 225 W WACKER DR, CHICAGO, IL, 60606.

Mark W Thorndyke has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since April 25, 1986

Disclosure History

Mark W Thorndyke has 1 Disclosure Event(s).

Date: January 18, 2011
Category: Customer Dispute
Allegations: THE CUSTOMERS ALLEGE UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION FROM DECEMBER 2007 TO SEPTEMBER 2010.
Damage Amount Requested: $445,232.00
Settlement Amount: $75,000.00
Broker Comment: THE MATTER WAS SETTLED IN ORDER TO AVOID THE COST OF LITIGATION. THE FINANCIAL ADVISOR DID NOT CONTRIBUTE MONETARILY TOWARDS THE SETTLEMENT.

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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