Scott WILLIAM Marsden is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1 PARK PL, ANNAPOLIS, MD, 21401.
Scott WILLIAM Marsden has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 23, 2009
Disclosure History
Scott WILLIAM Marsden has 1 Disclosure Event(s).
Date: January 07, 2002 Category: Customer Dispute Allegations: NASD ARBITRATION CLAIMS VIOLATIONS ANTI-FRAUD PROVISIONS, VIOLATIONS OF RULE 10B-5, COMMON LAW FRAUD, VIOLATIONS OF THE MARYLAND SECURITIES ACT, BREACH OF FIDUCIARY DUTY, NEGLIGNECE AND BREACH OF CONTRACT. CUSTOMER ALLEGES PURCHASE OF ALLIANCE TECHNOLOGY FUND CLASS B WAS UNAUTHORIZED. Damage Amount Requested: $33,403.00 Settlement Amount: $21,000.00 Broker Comment: AN AGREEMENT WAS REACHED BY ALL PARTIES TO SETTLE IN THE AMOUNT OF $21,000 TO AVOID FURTHER COSTS OF ARBITRATION.
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