James Jordan Plasterer Jr, of Tuscaloosa, Alabama, a stockbroker formerly registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been named in a customer initiated investment related arbitration claim on March 29, 2017, in which the customer requested $2,500,000.00 in damages based upon allegations that he did not properly handle the customer’s portfolio of mutual fund and stocks.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on June 9, 2010, a customer initiated investment related arbitration claim involving Plasterer’s conduct was settled for $65,000.00 in damages, supported by allegations that he made unsuitable investment recommendations to the customer concerning mutual fund investments.
Plasterer’s registration with Merrill Lynch, Pierce, Fenner & Smith Inc. was terminated on April 25, 2017. Since April 21, 2017, he has been registered with Ameriprise Financial Services, Inc.
Guiliano Law Group
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