NEIL VINOD MEHTA is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 450 E LAS OLAS BLVD, FORT LAUDERDALE, FL, 33301.
NEIL VINOD MEHTA has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since December 08, 2016
Date: October 18, 2016 Category: Employment Separation After Allegations Firm Name: JPMORGAN SECURITIES LLC Termination Type: Voluntary Resignation Allegations: Registered representative voluntarily resigned after an internal review for mistakenly providing two employee family members purchasing mutual funds share prices at NAV, contrary to the terms of the mutual fund families' prospectuses. The customers offered to allow the price to be corrected. The firm has not received a customer complaint regarding this matter and believes no customer was harmed as of the date of this filing.
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