Laura Anne Parker of Austin Texas a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Inc. has been discharged from the firm on September 23, 2016 supported by accusations that she neglected to inform her firm about an outside business activity that she had engaged in while associated with the firm.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on March 12, 2009, a customer filed an investment related complaint regarding Parker’s activities in which the customer sought damages estimated to exceed $5,000.00 founded on allegations that while Parker was associated with Banc of America Investment Services, Inc., the customer was inappropriately advised to invest in equities using proceeds from the customer’s home equity loan.
Parker has been employed by Ameriprise Financial Services Inc. since October 7, 2016.
