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
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.
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