RICHARD HARRIS EINZIGER is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 23655 N SCOTTSDALE RD, SCOTTSDALE, AZ, 85255.
RICHARD HARRIS EINZIGER has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since May 18, 2012
Disclosure History
RICHARD HARRIS EINZIGER has 2 Disclosure Event(s).
Date: January 20, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT HER INSTRUCTIONS ON WHAT TYPE OF INVESTMENTS TO PURCHASE IN HER ACCOUNT WERE NOT FOLLOWED AND THAT THE INVESTMENTS MADE WERE UNSUITABLE. (1998) Damage Amount Requested: $70,000.00 Broker Comment: THE CLIENT'S COMPLAINT WAS DENIED.
Date: October 04, 1996 Category: Customer Dispute Allegations: UNSUITABILITY, MISREPRESENTATION, BREACH OF FIDUCIARY DUTY, FRAUD, NEGLIGENCE, VIOLATION OF THE ELDER ABUSE ACT. ALLEGED DAMAGES: $1,030,000.00 Damage Amount Requested: $1,030,000.00 Settlement Amount: $94,999.00 Broker Comment: THE CLAIMS AGAINST MR EINZIGER WERE WITHDRAWN WITH PREJUDICE. THE CLAIMS AGAINST THE FIRM WERE SETTLED FOR $94,999.00 WITH NO ADMISSION OF LIABILITY OR WRONGDOING. THE [CUSTOMER'S] AND MYSELF HAD A VERY GOOD RELATIONSHIP FOR MORE THAN 20 YEARS. DURING OUR RELATIONSHIP THE [CUSTOMER'S] MADE SUBSTANTIAL MONEY IN A DIVERSIFIED INVESTMENT PORTFOLIO.
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