WILLIAM J ZALEWSKI

WILLIAM J ZALEWSKI is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 180 FORT COUCH RD, UPPER SAINT CLAIR, PA, 15241.

WILLIAM J ZALEWSKI has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since October 16, 2009

Disclosure History

WILLIAM J ZALEWSKI has 2 Disclosure Event(s).

Date: March 17, 2014
Category: Customer Dispute
Allegations: THE CUSTOMERS ALLEGE MISREPRESENTATION FROM SEPTEMBER 2011 TO MARCH 2013.
Broker Comment: CLAIM HAS BEEN DENIED AND IS BELIEVED TO BE WITHOUT MERIT. CUSTOMERS SIGNED A SUBSCRIPTION AGREEMENT WHICH HELD APPROPRIATE DISCLOSURES. FURTHERMORE THE FINANCIAL ADVISOR PROVIDED APPROPRIATE DISCLOSURES TO THE CUSTOMERS.

Date: May 31, 2011
Category: Customer Dispute
Allegations: TIME FRAME NOVEMEBER 1, 1996 - MAY 31, 2011 CLIENT ALLEGES FINANCIAL ADVISOR PLACED MONEY IN AN ANNUITY WITHOUT PERMISSION. THE ALLEGED DAMAGES ARE ESTIMATED TO BE IN EXCESS OF $5,000

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 J ZALEWSKI, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.