STUART ARDEN DANIELS is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 100 CAMPUS DR, FLORHAM PARK, NJ, 07932.
STUART ARDEN DANIELS has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 27, 2007
Disclosure History
STUART ARDEN DANIELS has 2 Disclosure Event(s).
Date: December 10, 2014 Category: Customer Dispute Allegations: The Customer alleges excessive trading, unauthorized trading, unsuitable investment recommendations and misrepresentation and omission of material facts from October 2007 to August 2014. Damage Amount Requested: $300,000.00 Settlement Amount: $25,000.00 Broker Comment: This matter was settled in order to avoid the cost and uncertainty of litigation. The Financial Advisor was not asked to and did not contribute monetarily towards the settlement.
Date: October 29, 1998 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT SHE NEVER REQUESTEDTRADES, THAT SHE WAS NOT SUITABLE FOR SMALL CAP STOCKS AND THENUMBER OF TRANSACTIONS WERE EXCESSIVE WHILE AT PAINEWEBBER.DAMAGES CLAIMED ARE $95,500 DURING THE TIME FRAME OF 1996-1998.PRODUCTS NOT SPECIFIED. COMPLAINT RECEIVED BY PAINEWEBBER. Damage Amount Requested: $95,500.00 Broker Comment: PAINEWEBBER DENIED THIS MATTER.THERE IS NO VALIDITY TO ANY OF ABOVE ALLEGATIONS
More Information
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