RICKY AUGUSTUS BANDERMANN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1371 N MT AUBURN RD, CAPE GIRARDEAU, MO, 63701.
RICKY AUGUSTUS BANDERMANN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 23, 2009
Disclosure History
RICKY AUGUSTUS BANDERMANN has 2 Disclosure Event(s).
Date: March 25, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT THE SAFETY OF PRINCIPAL OF THE LEHMAN BROTHERS HOLDINGS INC. 7.35000% 05/06/2038 CORPORATE NOTE PURCHASED MAY 2008 WAS MISREPRESENTED TO HER. COMPENSATORY DAMAGES UNSPECIFIED.
Date: February 20, 2007 Category: Customer Dispute Allegations: CLIENTS PURCHASED $500,000 FACE AMOUNT OF FEDERAL HOME LN MTG CORP 5% DUE 3/15/2016 ON MARCH 5, 2004. CLIENTS VERBALLY ALLEGED THAT MR. BANDERMANN INFORMED THEM THAT THEY WOULD GET THIS MONEY BACK AFTER 1-YEAR. MR. BANDERMANN CLAIMED THAT HE ADVISED THE CLIENTS THAT THE ISSUER COULD CALL THE POSITION AFTER A YEAR AND THAT HE ALSO EXPLAINED THE BOND MATURITY. CLIENTS DID NOT SPECIFY COMPENSATORY DAMAGES. Settlement Amount: $11,088.33
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