PETER ANTHONY AMBROSE is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 8075 LEESBURG PIKE, VIENNA, VA, 22182.
PETER ANTHONY AMBROSE has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since March 15, 2004
Disclosure History
PETER ANTHONY AMBROSE has 2 Disclosure Event(s).
Date: July 11, 2003 Category: Customer Dispute Allegations: CUTOMER ALLEGES THAT THE RECOMMENDATIONS WERE INAPPROPRIATE AND DID NOT TAKE INTO ACCOUNT HER LEVEL OF RISK TOLERANCE. Damage Amount Requested: $20,000.00 Broker Comment: THIS MATTER IS PENDING
Date: March 15, 1999 Category: Customer Dispute Allegations: CLAIMANT ALLEGES PAINEWEBBER BRANCH MANAGERFAILED TO SUPERVISE THE HANDLING OF HIS ACCOUNT. Damage Amount Requested: $308,666.00 Settlement Amount: $80,000.00 Broker Comment: I HAVE BEEN NAMED IN THIS ARBITRATION SOLELY BECAUSE I AM THE BRANCH MANAGER AND NOT FOR ANY ACTIONS OR INACTION ON MY PART. I ADAMANTLY DENY ANY WRONGDOING WITH REGARD TO [CUSTOMER], [SPOUSE] OR THE ACCOUNTS AT PAINEWEBBER. MOREOVER AT ALL TIMES, THE BROKER FOR THE ACCOUNT AND EVERY OTHER PAINEWEBBER EMPLOYEE WERE PROPERLY SUPERVISED.
More Information
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