PETER ANTHONY AMBROSE

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

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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