SCOTT RICHARD ROLLICK is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 724 W LANCASTER AVE, WAYNE PBIG, WAYNE, PA, 19087.
SCOTT RICHARD ROLLICK has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 23, 1985
Disclosure History
SCOTT RICHARD ROLLICK has 2 Disclosure Event(s).
Date: April 01, 1991 Category: Regulatory
Date: August 01, 1990 Category: Customer Dispute Allegations: THE [CUSTOMERS] HAD ALLOWED ME TO TRADE THEIRACCOUNT ON A DISCRETIONARY BASIS. I FAILED HOWEVER, TO OBTAIN AWRITTEN POWER OF ATTORNEY FOR THE [CUSTOMERS]. [CUSTOMER] & [SPOUSE] CLAIMED $66,000. IN DAMAGES. THIS FIGURE REPRESENTS THE[CUSTOMERS'] ENTIRE LOSS FROM DISCRETIONARY TRADES. Damage Amount Requested: $66,000.00 Settlement Amount: $66,000.00 Broker Comment: MERRILL LYNCH AND I, RECENTLY SETTLED THE MATTERWITH [CUSTOMER] & [SPOUSE] FOR $66,000. I HAVE AGREED TOREIMBURSE MERRILL LYNCH FOR THE ENTIRE COST OF THE SETTLEMENT.NOT PROVIDED
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