NATHAN DAVID GEISLER

NATHAN DAVID GEISLER is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 3292 LEVIS COMMONS BLVD, PERRYSBURG, OH, 43551.

NATHAN DAVID GEISLER has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978

Disclosure History

NATHAN DAVID GEISLER has 1 Disclosure Event(s).

Date: October 16, 2014
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES EXCESSIVE TRADING FROM JANUARY 2013 THROUGH OCTOBER 2014. ALLEGATION ACITIVITY PERIOD 1/1/2013 TO 10/16/2014.
Settlement Amount: $65,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

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