MICHAEL PAUL FIX is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 360 HAMILTON AVE, WHITE PLAINS, NY, 10601.
MICHAEL PAUL FIX has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978
Disclosure History
MICHAEL PAUL FIX has 2 Disclosure Event(s).
Date: August 21, 2013 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE THAT UNIT INVESTMENT TRUST PURCHASED ON NOVEMBER 30, 2012, WAS MISREPRESENTED. ACTIVITY PERIOD: 11/30/2012 - 08/21/2013 Settlement Amount: $23,835.46 Broker Comment: THE FIRM MADE A BUSINESS DECISION TO SETTLE WITH THE CLIENT TO AVOID THE COSTS AND UNCERTAINTY OF LITIGATION WITHOUT ANY PARTICIPATION IN THE SETTLEMENT FROM THE FINANCIAL ADVISOR.
Date: July 26, 2002 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE UNSUITABLE INVESTMENTS. Damage Amount Requested: $500,000.00 Broker Comment: THIS MATTER IS UNDER INVESTIGATION.
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