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 on February 14, 2019 in which the customer requested unspecified damages supported by allegations that unfounded statements had been made by Roberson in December of 2018 with regard to the customer’s managed or outside money manager account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Roberson is referenced in three more customer initiated investment related disputes containing accusations of Roberson’s violative conduct while employed with Merrill Lynch. Specifically, a customer filed an investment related arbitration claim concerning Roberson’s conduct which was settled for $13,000.00 in damages based upon allegations investment recommendations were not suitable; and the customer’s investment instructions had been disregarded by Roberson which led the customer’s Van Kampen Fund and Morgan Stanley High Tech 15A Fund positions not be timely liquidated.
In addition, Roberson is referenced in a customer initiated investment related complaint where the customer sought $750,000.00 in damages founded on accusations that over-the-counter equities trades were inappropriate; and the customer’s brokerage account had been over-concentrated in inappropriate investments by Roberson when he was associated with Merrill Lynch. On October 27, 2017, another customer initiated investment related complaint regarding Roberson’s activities was resolved for $30,543.31 in damages supported by allegations that from 2015 to 2017, there were false or misleading statements and non-disclosures of facts pertaining to the variable annuity sold by Roberson.
Roberson has been employed by Merrill Lynch since January 23, 1992.
