MARK DAVID YADRON is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1030 WILLOW CREEK RD, PRESCOTT, AZ, 86301.
MARK DAVID YADRON has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since March 01, 2013
Disclosure History
MARK DAVID YADRON has 5 Disclosure Event(s).
Date: February 03, 2017 Category: Customer Dispute Allegations: The Customer alleges unauthorized trading in August 2016. Damage Amount Requested: $5,095.35 Settlement Amount: $5,095.35
Date: December 13, 2016 Category: Customer Dispute Allegations: The Customers allege unauthorized trading from August 2016 to October 2016. Damage Amount Requested: $8,983.26
Date: June 17, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT THE SALE OF APPLIED MATERIALS COMMON STOCK ON APRIL 13, 1999 WAS UNAUTHORIZED. NO SPECIFIC DAMAGES WERE CLAIMED. Settlement Amount: $5,199.00 Broker Comment: MERRILL LYNCH DENIED CUSTOMER'S CLAIM OF UNAUTHORIZED TRADING, WHICH WAS 14 MONTHS AFTER THE TRADE IN QUESTION. HOWEVER, MERRILL LYNCH REIMBURSED COMMISSIONS TOTALING $5,199, WHICH WAS THE DIFFERENCE BETWEEN THE COMMISSION CHARGED AND THE AGREED UPON DISCOUNT.
Date: May 19, 1997 Category: Customer Dispute Allegations: CUSTOMER ALLEGED UNAUTHORIZED BUY OF 85 BONDS Broker Comment: THIS TRADE WAS NOT UNAUTHORIZED. THERE WAS ADISPUTE IN THE QUANTITY. CUSTOMER HAS AGREED TO KEEP 10 ANDOLDE WILL TAKE BACK THE 75.THE CUSTOMER HAD 85 BONDS THAT HAD MATURED. IPRESENTED HIM WITH 85 SAN DIEGO PORT AUTHORITY AAA INSUREDBONDS. HE AGREED TO THE PURCHASE. I READ BACK THE ORDER AMINIMUM OF 2 TIMES IN FRONT OF MY BRANCH MANAGER AND ANOTHERBROKER BECAUSE OF THE SIZE OF THE TRADE. HE CONFIRMED THEPURCHASE. I RAN THE TRADE. AFTER THE MARKET CLOSED AROUND 3PMPACIFIC TIME HE CALLED BACK AND SAID HE DIDNT WANT ALL THEBONDS, JUST SOME CAUSE HE REALIZED HE NEEDED THE MONEY TO BUY AHOUSE. I SAID SORRY THEY ARE LONG IN YOUR ACCT & THE MARKET ISCLOSED & I WAS NOT GOING TO BUST THE TRADE BASED ON BUYERSROMORSE. I TOLD HIM ID CALL HIM TOMORROW. THE NEXT DAY HECALLED CUSTOMER SERVICE & FROM THERE IT WAS HANDLED BY MYDISTRICT MANAGER & CUSTOMER SERVICE.
Date: March 25, 1991 Category: Criminal Charges: FALSE INFORMATION TO A POLICE OFFICER Disposition: MISDEMEANOR, 1 YEAR UNSUPERVISED PROBATION,SUSPENDED JAIL SENTENCE OF 6 MONTHS $72.00 FINE WAS PAID, 16HOURS OF COMMUNITY SERVICE, BE A LAW -ABIDING CITIZEN ANDNOTIFY THE COUR IF ANY CHANGE IN ADDRESS DURING PROBATIONARYPERIOD. Broker Comment: THIS INCIDENT HAPPENED DURING SPRING BREAK ATLAKE HAVASO. I WAS DRINKING BEERS WITH MY FRIENDS WHEN ANOFFICER ASKED US OUR AGES. I TOLD HIM I WAS 21 YEARS OLD WHEN IWAS ONLY 20. I WAS SCARED TO TELL HIM I WAS ONLY 20 BECAUSE HEWOULD HAVE TO CONTACT MY PARENTS. WHEN I TOLD HIM MY REAL AGE IWAS ARRESTED FOR MINOR IN POS OF ALCHOHOL AND FALSE INFO TOPOLICE. I PAID A $72.00 FINE AND DID 16 HOURS OF COMMUNITYSERVICE AT MY CHURCH AND THE CASE WAS SETTLED. I DID NOTDISCLOSE THIS INCIDENT ON THE U-4 THE FIRST TIME BECASE ITHOUGHT ONLY FELONIES & SECURITY RELATED MISDEMEANORS NEEDED TOBE DISCLOSED. I HOPE THE EXPLANATION BRINGS THIS CASE TO APOSITIVE CONCLUSION.
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.
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