Ashish D. Mathur of New York New York a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Inc. is referenced in a customer initiated investment related written complaint on February 1, 2018 where the customer alleged that (1) misrepresentations and omissions had been made to the customer concerning foreign-debt investments and (2) unsuitable investment transactions had been executed in the customer’s account in 2017.
FINRA Public Disclosure additionally confirms that on July 6, 2004, a customer initiated investment related complaint concerning Mathur’s conduct was resolved for $19,761.00 in damages supported by allegations that while Mathur was employed by Merrill Lynch, misrepresentations had been made to the customer by Mathur in reference to the customer’s investment in ING Clarion Global Real Estate Income Fund.
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