ROY BORREGO is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1190 W MARION AVE, PUNTA GORDA, FL, 33950.
ROY BORREGO has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 12, 1999
Disclosure History
ROY BORREGO has 2 Disclosure Event(s).
Date: October 15, 2008 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES FAILURE TO FOLLOW INSTRUCTIONS. Damage Amount Requested: $14,197.00 Settlement Amount: $1,353.00
Date: September 26, 2001 Category: Customer Dispute Allegations: ALLEGATION THAT SOME ORDERS WERE ENTERED INTO HER ACCOUNT WITHOUT PROPER PRIOR AUTHORITY AT THE TIME THE ORDER WAS PLACED. NO SPECIFIC DAMAGE ALLEGED. Settlement Amount: $8,000.00
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