Paul W Ziegler

Paul W Ziegler is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 60 E SOUTH TEMPLE ST, SALT LAKE CITY, UT, 84111.

Paul W Ziegler has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 23, 1986

Disclosure History

Paul W Ziegler has 7 Disclosure Event(s).

Date: April 27, 2005
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENT RECOMMENDATIONS. ALLEGED DAMAGES UNSPECIFIED.
Broker Comment: LETTER TO CUSTOMER - WE DO NOT BELIEVE THERE WAS ANY MERIT TO THE ALLEGATIONS.

Date: July 22, 2002
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT HIS FA FAILED TO FOLLOW HIS INSTRUCTIONS RESULTING IN LOSSES.
Damage Amount Requested: $70,000.00
Broker Comment: WE WROTE THE CUSTOMER ON SEPTEMBER 4, 2002, THAT WE DID NOT BELIEVE THERE WAS ANY MERIT TO THE ALLEGATIONS. WE HAVE NOT HEARD BACK FROM THE CUSTOMER.

Date: June 27, 2002
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT MR. ZIEGLER MADE AN UNSUITABLE INVESTMENT RECOMMENDATION.
Damage Amount Requested: $20,000.00
Broker Comment: AFTER A THOROUGH INVESTIGATION, THIS COMPLAINT WAS DEEMED TO BE WITHOUT MERIT.

Date: July 19, 2001
Category: Customer Dispute
Allegations: ORAL COMPLAINT. CUSTOMER ALLEGED HER FINANCIAL ADVISOR MADE AN UNSUITABLE PURCHASE IN HER ACCOUNT.
Damage Amount Requested: $63,990.00
Settlement Amount: $63,990.00
Broker Comment: WE SETTLED THIS MATTER FOR BUSINESS REASONS AND TO AVOID THE COST AND RISK OF LITIGATION.

Date: May 14, 2001
Category: Customer Dispute
Allegations: CLIENTS ALLEGE MR. ZIEGLER PROMISED THEM A 7% MINIMUM PROFIT IN THEIR IRA. NO DAMAGE AMOUNT SPECIFIED..
Settlement Amount: $63,990.00

Date: June 05, 2000
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT MR. ZIEGLER CHURNED HIS ACCOUNT BACK IN 1998 AND TWO STOCKS AND AN ANNUITY RECOMMENDED BY MR. ZIEGLER PERFORMED POORLY.
Broker Comment: MERRILL LYNCH AND MR. ZIEGLER DENTY THE CUSTOMER'S ALLEGATIONS. OUR RECORDS INDICATE THAT THERE WERE ONLY FOUR (4) TRADES DONE IN THE CUSTOMER'S ACCOUNT IN 1998. ALL RECOMMENDATIONS WERE INVESTMENT GADE AND GOOD QUALITY AND CONSISTENT WITH THE CUSTOMER'S INVESTMENT OBJECTIVES AND RISK TOLERANCE. UNFORTUNATELY, THE INVESTMENTS DID NOT PERFORM AS EXPECTED.

Date: August 07, 1992
Category: Customer Dispute
Allegations: THE CUSTOMERS SOUGHT DAMAGES OF $97,995 AS ARESULT OF ALLEGED MISREPRESENTATION IN CONNECTION WITH THEPURCHASE OF A SECURITY.
Damage Amount Requested: $97,995.00 Damages Granted: $40,069.83
Broker Comment: THE CLAIMANTS WERE AWARDED $40,069.83NOT PROVIDED

More Information

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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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