RICHARD S WALD

RICHARD S WALD is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1331 N CALIFORNIA BLVD, WALNUT CREEK, CA, 94596.

RICHARD S WALD has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 02, 1986

Disclosure History

RICHARD S WALD has 1 Disclosure Event(s).

Date: September 29, 2009
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED THAT HER FINANCIAL ADVISOR FAILED TO FOLLOW HER INSTRUCTIONS TO LIQUIDATE THE YORK ACCESS FUND.
Settlement Amount: $24,889.66
Broker Comment: MERRILL LYNCH SETTLED THIS MATTER.

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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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