WALTER HOWARD DUKE is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 224 BROAD ST, GADSDEN, AL, 35901.
WALTER HOWARD DUKE has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since June 21, 1979
Disclosure History
WALTER HOWARD DUKE has 1 Disclosure Event(s).
Date: June 18, 2004 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES THAT THE FA MADE UNSUITABLE INVESTMENTS. THE CUSTOMER ALLEGES UNSPECIFIED DAMAGES. Settlement Amount: $27,500.00 Broker Comment: MERRILL LYNCH IS INVESTIGATING THE ALLEGATIONS SET FORTH IN THE CUSTOMER'S COMPLAINT.MATTER WAS SETTLED TOO AVOID THE COST OF ARBITRATION PRECEEDING.
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