WILLIAM PHILLIP MCCORVEY

WILLIAM PHILLIP MCCORVEY is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 125 E INDIANA AVE, DELAND, FL, 32724.

WILLIAM PHILLIP MCCORVEY has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since February 19, 1986

Disclosure History

WILLIAM PHILLIP MCCORVEY has 2 Disclosure Event(s).

Date: July 10, 2013
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES MISREPRESENTATION AND OMISSION OF MATERIAL FACTS IN 2010. ALLEGATION ACTIVITY PERIOD JANUARY 4, 2010 TO DECEMBER 31, 2010.
Damage Amount Requested: $500,000.00
Settlement Amount: $70,000.00
Broker Comment: THE FINANCIAL ADVISOR DENIES ALL THE ALLEGATIONS IN THE STATEMENT OF CLAIM. THE FIRM SETTLED THE MATTER SOLELY FOR BUSINESS REASONS TO AVOID THE EXPENSE OF ARBITRATION. THE FINANCIAL ADVISOR DID NOT CONTRIBUTE TO THE SETTLEMENT.

Date: October 01, 2002
Category: Customer Dispute
Allegations: THE CLIENT ALELGES THAT ANNUITIES PURCHASED IN 1993 AND 2002, WHICH HAVE DECLINED IN VALUE, ARE UNSUITABLE.
Damage Amount Requested: $90,000.00
Settlement Amount: $12,000.00
Broker Comment: THIS MATTER WAS SETTLED AS A BUSINESS DECISION, AND TO AVOID THE COST AND UNCERTAINTIES ASSOCIATED WITH LITIGATION.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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