RONALD CHARLES SENEGAL is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1152 15TH ST NW, WASHINGTON, DC, 20005.
RONALD CHARLES SENEGAL has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 16, 2016
RONALD CHARLES SENEGAL has 3 Disclosure Event(s).
Date: March 10, 2008 Category: Customer Dispute Allegations: COMPLAINT ABOUT AUCTION RATE SECURITIES THAT ALLEGED MISREPRESENTATION. DAMAGES UNSPECIFIED. Settlement Amount: $125,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE TRANSACTION(S) AT ISSUE TOOK PLACE BEFORE MID-FEBRUARY 2008, WHEN THE ARS MARKET SUFFERED WIDESPREAD AUCTION FAILURES AND ILLIQUIDITY. THE FINANCIAL ADVISOR DID NOT CAUSE, CONTRIBUTE OR HAVE ANY CONTROL WHATSOEVER OVER THESE MARKET EVENTS. THE FIRM REACHED AGREEMENT WITH CERTAIN OF ITS REGULATORS, PURSUANT TO WHICH IT REPURCHASED ARS FOR THEIR FULL PAR VALUE FROM CERTAIN CLIENTS, INCLUDING THE INSTANT CLIENT, WHETHER THEY COMPLAINED OR NOT. THE FINANCIAL ADVISOR WAS NOT A PARTY TO THAT AGREEMENT, DID NOT MAKE ANY PAYMENT TO THE CLIENT, AND WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE REPURCHASE AMOUNT. THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, AS REQUIRED BY FINRA REGULATORY NOTICE 09-12.
Date: August 11, 1980 Category: Criminal Charges: 1 COUNT GRAND LARCEY AUTO MISDEAMENOR GUILTY Charge Type: FELONY Disposition: UNAUTHORIZED USE CONVICTED 8/27/80 6 MONTHS CONFIEMENT SUSPENDED SENTENCE 2 YEARS
Date: August 11, 1980 Category: Criminal Charges: STOLEN CREDIT CARD 1 COUNT NOT GUILTYMOTOR VEHICLE VIOLATION 1 COUNT NOT GUILTYFUGITIVE 1 COUNT NOT GUILTYSTOLEN VEHICLE 1 COUNT NOT GUILTY Charge Type: FELONY Disposition: STOLEN CREDIT CARD DISMISSED 8/20/80, EXTRADITED TO VIRGINIA.MOTOR VEHICLE VIOLATION DISMISSED 8/20/80, EXTRADITED TO VIRGINIA.FUGITIVE DISMISSED 8/20/80, EXTRADITED TO VIRGINIA.STOLEN VEHICLE DISMISSED 8/20/80, EXTRADITED TO VIRGINIA. Broker Comment: ARRESTED IN NEW JERSEY 8/11/80 CHARGED WITH ABOVE MENTIONED CHARGES. ALL WERE DISMISSED DUE TO EXTRADITION TO STATE OF VIRGINIA WHERE ORIGINAL CRIME OCCURRED. CASE HANDLED IN VIRGINIA.
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