WILLIAM LAWRENCE CAIN is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 101 ARRANDALE BLVD, EXTON, PA, 19341.
WILLIAM LAWRENCE CAIN has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 27, 2007
Disclosure History
WILLIAM LAWRENCE CAIN has 2 Disclosure Event(s).
Date: February 03, 2011 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION. Damage Amount Requested: $300,000.00 Settlement Amount: $53,000.00 Broker Comment: MR. CAIN DENIES THE ALLEGATIONS IN THE STATEMENT OF CLAIM. THIS MATTER WAS SETTLED SOLELY FOR BUSINESS REASONS TO AVOID THE EXPENSE AND UNCERTAINTY OF LITIGATION. MR. CAIN DID NOT CONTRIBUTE TO THE SETTLEMENT.
Date: October 21, 2002 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT FINANCIAL UNSUITABLY INVESTED HIS ASSETS. Damage Amount Requested: $75,526.00
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for WILLIAM LAWRENCE CAIN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.