Mark David Yadron, of Prescott, Arizona, a stockbroker currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been named in a customer initiated investment related written complaint on February 3, 2017, in which the customer requested $5,095.35 in damages based upon allegations that Yadron effected unauthorized closed-end fund trades in the customer’s investment account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Yadron has been named in three additional customer initiated investment related disputes containing allegations of his misconduct while employed with Merrill Lynch and Olde Discount Corporation. Particularly, on July 13, 2000, a customer initiated investment related written complaint involving Yadron’s conduct was settled for $5,199.00 in damages based upon allegations that he effected the unauthorized sale of Applied Materials common stock from the customer’s account.
Further, on December 13, 2016, a customer filed an investment related written complaint regarding Yadron’s activities, in which the customer requested $8,983.26 in damages based upon allegations that between August and October of 2016, Yadron placed mutual fund trades in the customer’s investment account without the customer’s consent.
Guiliano Law Group
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