PAUL ALFRED GILBERT

PAUL ALFRED GILBERT is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 350 S GRAND AVE, LOS ANGELES, CA, 90071.

PAUL ALFRED GILBERT has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since December 01, 2009

Disclosure History

PAUL ALFRED GILBERT has 2 Disclosure Event(s).

Date: April 05, 1999
Category: Customer Dispute
Allegations: CLIENT'S REPRESENTATIVE ALLEGED THAT HERINSTRUCTIONS THAT BONDS BE TENDERED WHEN NOTICE OF TENDER OFFERRECEIVED WERE NOT FOLLOWED. ALLEGED DAMAGES UNSPECIFIED BUT INEXCESS OF $5,000. SALOMON SMITH BARNEY
Broker Comment: THE CLIENT'S CLAIM WAS DENIED. THERE WERE NOOPTIONS OR COMMODITIES INVOLVED. NOT PROVIDED.

Date: July 18, 1994
Category: Customer Dispute
Allegations: MISREPRESENTATION; BREACH OF FIDUCIARY DUTY; UNAUTHORIZED TRADING; ACCOUNT RELATED-NEGLIGENCE.
Damage Amount Requested: $838,000.00
Settlement Amount: $292,500.00
Broker Comment: THIS MATTER WAS SETTLED WITHOUT ANY FINDING OFLIABILITY AS AGAINST KIDDER OR MR. GILBERT. MR. GILBERTVEHEMENTLY DENIES ANY WRONGDOING IN CONNECTION WITH THISACCOUNT AND MADE NO CONTRIBUTION TO THE SETTLEMENT OF THISMATTER. $292,500.00NOT PROVIDED

More Information

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