Timothy Revell Roberson of Brentwood, Tennessee, a stockbroker currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, is the subject of a customer initiated investment related written complaint, which settled for $30,543.31 in damages supported by accusations that Roberson made misrepresentations and omissions to the customer between September of 2015 and May of 2017 in regard to the customer’s variable annuity.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that a customer initiated investment related arbitration claim regarding Roberson’s activities was resolved for $13,000.00 in damages founded on allegations that Roberson made unsuitable investment recommendations to the customer concerning the sale of Morgan Stanley High Tech 15A Fund and Van Kampen Fund from the customer’s mutual fund account. National Association of Securities Dealers (NASD) Arbitration No. 01-04612 (Jan. 20, 2013).
Additionally, on September 6, 2001, a customer filed an investment related written complaint involving Roberson’s conduct, where the customer requested $750,000.00 in damages based upon accusations that Roberson over-concentrated the customer’s assets in energy-sector equity products.
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