Robert H Gorman

Robert H Gorman is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 7 ROSZEL RD, PRINCETON, NJ, 08540.

Robert H Gorman has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978

Disclosure History

Robert H Gorman has 2 Disclosure Event(s).

Date: March 29, 2010
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS FROM JULY 2007 TO DECEMBER 2009. COMPENSATORY DAMAGES ARE NOT SPECIFIED.
Settlement Amount: $55,000.00
Broker Comment: MERRILL LYNCH DECIDED TO SETTLE THIS MATTER IN ORDER TO AVOID THE COSTS, RISKS AND UNCERTAINTY OF LITIGATION.

Date: August 02, 2001
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES UNAUTHORIZED TRADES.
Damage Amount Requested: $300,000.00

More Information

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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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