Nelson Chester Catalina

Nelson Chester Catalina is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 2000 BROWNS LN ACCESS RD, JONESBORO, AR, 72401.

Nelson Chester Catalina has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since May 30, 2008

Disclosure History

Nelson Chester Catalina has 1 Disclosure Event(s).

Date: June 15, 2001
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED UNAUTHORIZED TRADING WITH REGARD TO EQUITIES. MARCH 1999 THROUGH MAY 2001. ALLEGED DAMAGES UNSPECIFIED.
Broker Comment: THE CLIENT'S CLAIM WAS DENIED.

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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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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