Marvin L Waltuch is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 75 ROCKEFELLER PLZ, NEW YORK, NY, 10019.
Marvin L Waltuch has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since August 24, 2000
Disclosure History
Marvin L Waltuch has 2 Disclosure Event(s).
Date: August 11, 2011 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE FAILURE TO FOLLOW INSTRUCTIONS IN JULY 2011. COMPENSATORY DAMAGES ARE NOT SPECIFIED. Settlement Amount: $33,623.67 Broker Comment: A MISCOMMUNICATION WITH THE CUSTOMER RESULTED IN THE DELAY IN THE LIQUIDATION OF CERTAIN ACCOUNTS. TRADE CORRECTIONS WERE MADE AT A COST TO THE FIRM OF $33,623.67
Date: November 06, 2009 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS Broker Comment: MERRILL LYNCH FOUND [CUSTOMER'S] CLAIM TO BE WITHOUT MERIT.
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