MARTIN DAVID SPRINGER

MARTIN DAVID SPRINGER is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 777 E ATLANTIC AVE, DELRAY BEACH, FL, 33483.

MARTIN DAVID SPRINGER has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 20, 1984

Disclosure History

MARTIN DAVID SPRINGER has 2 Disclosure Event(s).

Date: May 22, 2000
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGE THAT THEY NEVER AUTHORIZED MR. SPRINGER TO BUY STOCK ON MARGIN. NO SPECIFIC DAMAGES ALLEGED.
Broker Comment: THE CLIENT'S ALLEGATIONS WERE FOUND TO BE WITHOUT MERIT. INVESTMENTS WITHOUT SUFFICIENT FUNDS CREATED A SMALL MARGIN DEBT. ONCE IT WAS EXPLAINED TO THE CLIENT THE COMPLAINT WAS CLOSED.

Date: October 10, 1969
Category: Criminal
Charges: I WAS CHARGED WITH DESERTION AND BEING ABSENTWITHOUT LEAVE FROM THE ARMY.
Disposition: THE DEPARTMENT OF ARMY'S ACTION WAS WAIVED BASEDON A DISCHARGE ON FORM DD258A. I WAS NOT CONVICTED OF THEABOVE CHARGE
Broker Comment: Not Provided

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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