NEIL RICHARD KESSEL is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 520 NEWPORT CTR DR, NEWPORT BEACH, CA, 92660.
NEIL RICHARD KESSEL has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since March 05, 1997
Disclosure History
NEIL RICHARD KESSEL has 1 Disclosure Event(s).
Date: June 26, 2007 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FINANCIAL ADVISOR DID NOT FOLLOW HER INSTRUCTIONS AND INVESTED IN AN UNSUITABLE ASSET. NO SPECIFIC DAMAGES ALLEGED. Broker Comment: THE CLIENT'S ALLEGATIONS WERE FOUND TO BE WITHOUT MERIT AND THE COMPLAINT WAS DENIED.
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