ROBERT JAMES GUNNARSON is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 200 CONCORD PLAZA DR, SAN ANTONIO, TX, 78216.
ROBERT JAMES GUNNARSON has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 26, 1978
Disclosure History
ROBERT JAMES GUNNARSON has 2 Disclosure Event(s).
Date: March 19, 2003 Category: Customer Dispute Allegations: THE CUSTOMER'S DAUGHTER ALLEGES THAT UNSUITABLE INVESTMENTS WERE MADE IN HER MOTHER'S ACCOUNT. DAMAGES UNSPECIFIED.
Date: July 01, 1998 Category: Customer Dispute Allegations: MORE THAN SEVEN MONTHS AFTER THE FACT, THE CUSTOMER ALLEGES THAT MR. GUNNARSON SOLD HER SEARS STOCK WITHOUTAUTHORIZATION. NO SPECIFIC DAMAGES CLAIMED. THIS OCCURRED ATMERRILL LYNCH. Broker Comment: MR. GUNNARSON AND MERRILL LYNCH DENY THEALLEGATIONS IN THEIR ENTIRETY.THE CUSTOMER ACKNOWLEDGES IN HER LETTER THAT SHEAUTHORIZED MR. GUNNARSON TO SENDHER A $70,000 CHECK FROM HERACCOUNT SO SHE COULD PURCHASE A HOME AND NOT CARRY A MORTGAGE.THE SALE OF HER SEARS STOCK WAS DISCUSSED PREVIOUSLY WITH MR.GUNNARSON AND AUTHORIZED BY THE CUSTOMER AS PART OF THE $70,000DISTRIBUTION. THE STOCK HAS GONE UP IN PRICE SINCE THE SALE.
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