TRACY DE ANNE KING

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.

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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