SHANIA NATALIE MOTRUK

SHANIA NATALIE MOTRUK is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 100 WILSHIRE BLVD, SANTA MONICA, CA, 90401.

SHANIA NATALIE MOTRUK has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since June 14, 1990

Disclosure History

SHANIA NATALIE MOTRUK has 3 Disclosure Event(s).

Date: March 10, 2008
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATIONS CONCERNING AUCTION MARKET SECURITIES. DAMAGES UNSPECIFIED.
Broker Comment: THIS COMPLAINT AROSE OUT OF THE UNPRECEDENTED ILLIQUIDITY IN THE AUCTION RATE SECURITIES MARKET. PRIOR TO THE RECENT WIDESPREAD AUCTION FAILURES, AUCTION MARKET SECURITIES WERE SOLD THROUGHOUT THE FINANCIAL SERVICES INDUSTRY AS HIGHLY LIQUID INSTRUMENTS AND WERE APPROPRIATELY REGARDED BY THE INDUSTRY AS HIGHLY LIQUID INVESTMENTS.

Date: February 19, 2008
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES MISREPRESENTATIONS REGARDING THE SAFETY AND LIQUIDITY OF AUCTION RATE SECURITIES. DAMAGES UNSPECIFIED.
Damage Amount Requested: $125,000.00
Broker Comment: THIS COMPLAINT AROSE OUT OF THE UNPRECEDENTED ILLIQUIDITY IN THE AUCTION RATE SECURITIES MARKET. PRIOR TO THE RECENT WIDESPREAD AUCTION FAILURES, AUCTION MARKET SECURITIES WERE SOLD THROUGHOUT THE FINANCIAL SERVICES INDUSTRY AS HIGHLY LIQUID INSTRUMENTS AND WERE APPROPRIATELY REGARDED BY THE INDUSTRY AS HIGHLY LIQUID INVESTMENTS.

Date: January 18, 2006
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES UNSUITABLE RECOMMENDATIONS AND TRANSACTIONS IN HIS ACCOUNT.. ALLEGED DAMAGES UNSPECIFIED.
Broker Comment: LETTER TO CUSTOMER - WE DO NOT BELIEVE THERE IS ANY MERIT TO THE ALLEGATION.

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 SHANIA NATALIE MOTRUK, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.