SANDY ANN GAGE is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 145 S STATE COLLEGE BLVD, BREA, CA, 92821.
SANDY ANN GAGE has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 23, 2009
Disclosure History
SANDY ANN GAGE has 1 Disclosure Event(s).
Date: April 29, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT IN MAY 2000, MS. ADCOCK INCORRECTLY ADVISED HIM TO TRANSFER ASSETS FROM HIS DEFERRED COMPENSATION PLAN TO AN IRA. CLIENT STATES THAT THE IRS LATER INFORMED HIM HE SHOULD NOT HAVE MOVED THOSE ASSETS INTO AN IRA. CLIENT SEEKS A RETURN OF LOST VALUE AND REIMBURSEMENT FOR ANY PENALTIES. CLIENT HAS NOT SPECIFIED AN EXACT AMOUNT OF ALLEGED DAMAGES.
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