MELVIN FISHMAN is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 277 PARK AVENUE, 2ND & 3RD FLOOR, NEW YORK, NY, 10017.
MELVIN FISHMAN has worked at J.P. MORGAN SECURITIES LLC since August 22, 1984
Disclosure History
MELVIN FISHMAN has 1 Disclosure Event(s).
Date: March 26, 1999 Category: Customer Dispute Allegations: WE HAD RECEIVED A LETTER OF COMPLAINT FROMTHE ABOVE CLIENT ALLEGING THAT IN FEBRUARY 1999, I ENTEREDUNAUTHORIZED PURCHASES FOR INTEL AND COMPAQ STOCK IN THEACCOUNT. WE HAD DETERMINED THAT THE DAMAGES FROM THE ALLEGEDCONDUCT WOULD BE MORE THAN $5,000. (EMPLOYING FIRM WHEN EVENTSOCCURRED-BEAR, STEARNS AND CO. INC.) Broker Comment: AFTER MEETING WITH THE CLIENT, THE RR LEFT THECLIENT'S HOUSE BELIEVING THAT THE CLIENT HAD PLACED AN ORDER TOBUY INTEL AND COMPAQ STOCK. THE CLIENT SUBSEQUENTLY RENEGED ONTHE ORDER AND FILED THIS COMPLAINT. AFTER FURTHER DISCUSSIONSWITH THE CLIENT, THE CLIENT AGREED THAT THERE WAS AMISUNDERSTANDING AND THAT HE COULD HAVE PLACED THE BUY ORDER.THE COMPLAINT WAS RETRACTED BY THE CUSTOMER.Not Provided
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