TRACY DE ANNE KING is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 6525 3RD ST, ROCKLEDGE, FL, 32955.
TRACY DE ANNE KING has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since May 30, 1986
Disclosure History
TRACY DE ANNE KING has 2 Disclosure Event(s).
Date: May 04, 2011 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE UNAUTHORIZED TRADING AND UNSUITABLE INVESTMENT RECOMMENDATIONS. COMPENSATORY DAMAGES ARE NOT SPECIFIED. Settlement Amount: $31,507.00 Broker Comment: FIRM DID NOT FIND THAT THE TRADE WAS UNAUTHORIZED, BUT TO AVOID THE COST OF LITIGATION DECIDED TO SETTLE FOR $31507 (AMOUNT OF LOSSES).
Date: October 10, 2003 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THE ASSET ALLOCATION IN HER ACCOUNTS WAS UNSUITABLE. Damage Amount Requested: $34,000.00 Broker Comment: MERRILL LYNCH INVESTIGATED THE ALLEGATIONS IN THE CUSTOMER'S COMPLAINT AND FOUND NO MERIT. CLAIM WAS DENIED BY WRITTEN RESPONSE DATED FEBRUARY 27, 2004.
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