WILLIAM STEPHEN PICKERING is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 400 S RAMPART BLVD, LAS VEGAS, NV, 89145.
WILLIAM STEPHEN PICKERING has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since September 20, 1999
Disclosure History
WILLIAM STEPHEN PICKERING has 2 Disclosure Event(s).
Date: July 18, 2012 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE MISREPRESENTATION AND OMISSION OF MATERIAL FACTS REGARDING A VARIABLE ANNUITY PURCHASED IN MARCH 2011. Broker Comment: MERRILL LYNCH FOUND THE CUSTOMERS' CLAIMS TO BE WITHOUT MERIT.
Date: November 01, 1998 Category: Employment Separation After Allegations Firm Name: PAINEWEBBER Termination Type: Voluntary Resignation Allegations: POSSIBLE MISPRESENTATION OF AN INSURANCE PRODUCT. Broker Comment: PAINEWEBBER REPORTED ON FORM RE-3 THAT MR.PICKERING WAS PLACED ON A FIRM-IMPOSED SUSPENSION BEGINNING 5/1/97 PENDING RESOLUTION OF AN INTERNAL INVESTIGATION. ON 5/2/97, MR. PICKERING REQUESTED AND WAS GRANTED A LEAVE OF ABSENCE FROM PAINEWEBBER. THIS PROCEEDING WAS DEFERRED AS OF 5/22/97.
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