THOMAS P MCCORMICK

THOMAS P MCCORMICK is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 27 DIVISION ST, SARATOGA SPRINGS, NY, 12866.

THOMAS P MCCORMICK has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since November 08, 2011

Disclosure History

THOMAS P MCCORMICK has 2 Disclosure Event(s).

Date: March 13, 2015
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES MISPRESENTATION AND OMISSION OF MATERIAL FACTS REGARDING FEES FROM NOVEMBER 2014 TO MARCH 2015.

Date: May 06, 2014
Category: Customer Dispute
Allegations: THE CUSTOMERS, THROUGH THEIR ATTORNEY, ALLEGE UNSUITABLE INVESTMENT RECOMMENDATIONS FROM SEPTEMBER 2013 TO MAY 2014.
Damage Amount Requested: $95,581.43

More Information

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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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