Jennifer S. Yoon of Glendale California a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Inc. is the subject of a customer initiated investment related complaint which was resolved for $75,000.00 in damages supported by accusations that misrepresentations had been made to the customer concerning a variable annuity guaranteed income rider.
FINRA Public Disclosure confirms that Yoon has been referenced in two additional customer initiated investment related disputes containing allegations of her wrongdoing during the time that she was registered with Citicorp Investment Services. Specifically, a customer initiated investment related arbitration claim concerning Yoon’s activities was settled for $85,000.00 in damages based upon accusations that Yoon made representations to the customer and effected unsuitable equities and mutual fund transactions in the customer’s account. National Association of Securities Dealers (NASD) Arbitration No. 04-03028 (Sept. 7, 2005).
Thereafter, on July 26, 2005, a customer filed an investment related complaint concerning Yoon’s activities in which the customer sought $16,698.71 in damages founded on allegations that class B share mutual fund transactions were executed in the customer’s account without the customer’s consent.
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