WILLIAM EDWARD MCINTOSH

WILLIAM EDWARD MCINTOSH is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 200 CLARENDON ST, 19TH & 25TH FLOORS, BOSTON, MA, 02116.

WILLIAM EDWARD MCINTOSH has worked at MML INVESTORS SERVICES, LLC since March 25, 2017

Disclosure History

WILLIAM EDWARD MCINTOSH has 2 Disclosure Event(s).

Date: February 09, 2007
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT AT NO TIME WAS HE MADE AWARE OF ANY TAX IMPLICATIONS IN MOVING A PORTION OF HIS FIDELITY ACCOUNT TO BRINKER CAPITAL IN SEPTEMBER OF 2006.
Damage Amount Requested: $5,000.00
Settlement Amount: $46,955.00
Broker Comment: THE REPRESENTATIVE UPON DISCOVERING THE TAX LIABILITY FACING THE CLIENT IMMEDIATELY INFORMED COMPLIANCE AND BEGAN THE PROCESS OF MAKING THE CLIENT WHOLE UTLITIZING E&O INSURANCE. CLIENT AGREED WITH NEW ENGLAND SECURITIES OFFER TO REIMBURSE THEM A SUM OF $46,955 FOR THE ADDITIONAL 2006 TAX A LIABILITY.

Date: April 07, 1994
Category: Customer Dispute
Allegations: BREACH OF CONTRACT AND FIDUCIARY DUTY, FRAUDAND NEGLIGENCE
Settlement Amount: $58,000.00
Broker Comment: CIGNA SETTLED THE CLAIM FOR $41,500 AND RETURNOF INVESTMENT VALUE $16,500. CIGNA SECURITIES PAID THESETTLEMENT.THE CLAIM WAS FOR A NON PERFORMING REAL ESTATELIMITED PARTNERSHIP SOLD THRU CIGNA SECURITIES. THEY ACCEPTEDRESPONSIBILITY FOR THIS CASE AS WELL AS OTHER CASES BY A NUMBEROF REPS. THEY PAID THE FINES AND SETTLEMENT TO THE CLIENT.

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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