STEVEN KERSTEIN

STEVEN KERSTEIN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 800 E COLORADO BLVD, PASADENA, CA, 91101.

STEVEN KERSTEIN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 20, 1979

Disclosure History

STEVEN KERSTEIN has 1 Disclosure Event(s).

Category: Customer Dispute
Allegations: CHURNING
Damage Amount Requested: $269,000.00 Damages Granted: $75,000.00
Broker Comment: THE NYSE DECISION WAS RENDERED WHEREIN IT WAS DECIDED AND DETERMINED THAT IN FULL AND FINAL SETTLEMENT, THE RESPONDENTS' JOINTLY AND SEVERALLY SHALL PAY TO THE CLAIMANTS' THE SUM OF $75,000.00 IN FULL AND FINAL SATISFACTION OF THE CLAIM.

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.

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