RYAN JOSEPH MCGEE is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 417 LACKAWANNA AVE, SCRANTON, PA, 18503.
RYAN JOSEPH MCGEE has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since December 12, 2008
Disclosure History
RYAN JOSEPH MCGEE has 2 Disclosure Event(s).
Date: March 28, 2016 Category: Customer Dispute Allegations: Claimant alleges FA's Ryan Joseph Mcgee and [third party] purchased speculative and unsuitable securities in Claimant's accounts and engaged in a pattern of unauthorized trading. Settlement Amount: $30,000.00 Broker Comment: Without admitting any liability, the Firm settled the matter for $30,000.00 solely to avoid the costs and expenses of continued litigation and end the arbitration. The FA did not contribute to the settlement amount.
Date: December 15, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FA PURCHASED SECURITIES WITHOUT AUTHORIZATION. ALLEGES UNSPECIFIED DAMAGES, BUT DETERMINED TO BE GREATER THAN $5000.00 (11/04/2008)***ARBITRATION ALLEGATIONS: CLAIMANT, A RESIDENT OF PENNSYLVANIA, ALLEGES FA MADE UNSUITABLE AND UNAUTHORIZED INVESTMENTS OF UNIT INVESTMENT TRUSTS IN HER ACCOUNT FROM 2006-2008. CLAIMANT SEEKS DAMAGES OF $85,000. Damage Amount Requested: $85,000.00 Settlement Amount: $49,500.00 Broker Comment: THE PARTIES SETTLED THIS MATTER ON MAY 31, 2011 FOR $49,500.00.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for RYAN JOSEPH MCGEE, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.