MICHAEL MOSKOWITZ is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 2 PICKWICK PLZ, GREENWICH, CT, 06830.
MICHAEL MOSKOWITZ has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 24, 2010
Disclosure History
MICHAEL MOSKOWITZ has 2 Disclosure Event(s).
Date: July 25, 2005 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT DURING 3/24/05-3/31/05, RESPONDENT REFUSED TO FOLLOW HIS BUY ORDER INSTRUCTIONS AND THAT THE BRANCH MANAGER SUPPORTED THE REFUSALS TO ACCEPT TRADES. ADDITIONAL ALLEGATIONS INCLUDE FAILURE TO FOLLOW INSTRUCTIONS, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT AND UNAUTHORIZED CHARGE OF COMMISSIONS AND FEES. Damage Amount Requested: $2,680.00 Settlement Amount: $4,000.00
Date: December 14, 1998 Category: Customer Dispute Allegations: SALOMON SMITH BARNEY, ALLEGATIONS OF FRAUDAND GROSS NEGLIGENCE ALLEGED DAMAGES $42,000.00 Damage Amount Requested: $42,000.00 Broker Comment: CLAIM DENIEDRICK APICELLA AT 212-816-7200
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