{"hits":{"total":1,"hits":[{"_type":"_doc","_source":{"content":"{\"basicInformation\": {\"individualId\": 1412990, \"firstName\": \"MICHAEL\", \"middleName\": \"JOSEPH\", \"lastName\": \"VALDES\", \"otherNames\": [\"MIKE  VALDES\"], \"bcScope\": \"Active\", \"iaScope\": \"Active\", \"daysInIndustryCalculatedDate\": \"10/22/1985\"}, \"currentEmployments\": [{\"firmId\": 7691, \"firmName\": \"MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED\", \"iaOnly\": \"N\", \"registrationBeginDate\": \"10/23/1985\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"14235\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"7221\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"757804\", \"street1\": \"101 E KENNEDY BLVD\", \"street2\": \"PBIG - FLORIDA PWM TAMPA\", \"city\": \"TAMPA\", \"cityAlias\": [\"TAMPA\"], \"state\": \"FL\", \"country\": \"United States\", \"zipCode\": \"33602\", \"latitude\": \"27.94946\", \"longitude\": \"-82.46118\", \"geoLocation\": \"27.94946,-82.46118\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"03/17/2021\"}]}], \"currentIAEmployments\": [{\"firmId\": 7691, \"firmName\": \"MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED\", \"iaOnly\": \"Y\", \"registrationBeginDate\": \"11/1/1985\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"14235\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"7221\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"757804\", \"street1\": \"101 E KENNEDY BLVD\", \"street2\": \"PBIG - FLORIDA PWM TAMPA\", \"city\": \"TAMPA\", \"cityAlias\": [\"TAMPA\"], \"state\": \"FL\", \"country\": \"United States\", \"zipCode\": \"33602\", \"latitude\": \"27.94946\", \"longitude\": \"-82.46118\", \"geoLocation\": \"27.94946,-82.46118\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"03/17/2021\"}]}], \"previousEmployments\": [], \"previousIAEmployments\": [], \"disclosureFlag\": \"Y\", \"iaDisclosureFlag\": \"Y\", \"disclosures\": [{\"eventDate\": \"9/15/2010\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Denied\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"THE CUSTOMER ALLEGES MISREPRESENTATION REGARDING AN INVESTMENT PURCHASED IN JUNE 2008.  COMPENSATORY DAMAGES ARE NOT SPECIFIED.\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\"}}, {\"eventDate\": \"12/27/2006\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Denied\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CLIENT ALLEGES THAT FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENT RECOMMENDATIONS AND UNAUTHORIZED TRADES.\", \"Damage Amount Requested\": \"$500,000.00\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\"}}, {\"eventDate\": \"8/28/2003\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CUSTOMERS ALLEGED UNSUITABLE INVESTMENTS IN THEIR ACCOUNTS. THE STATEMENT OF CLAIM ALSO CONTAINED ALLEGATIONS SOLELY AGAINST THE FIRM.\", \"Damage Amount Requested\": \"$500,000.00\", \"Settlement Amount\": \"$100,000.00\", \"DisplayAAOLinkIfExists\": \"Y\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"03-05816\", \"Broker Comment\": [\"BOTH MERRILL LYNCH AND MR. VALDES DENIED ANY LIABILITY IN THIS MATTER.  IN 2000-01, THE CUSTOMERS DECIDED TO INVEST THEIR ACCOUNT IN   BETTER PERFORMING EQUITIES, INCLUDING TECHNOLOGY STOCKS AND ENRON.  THEY SOUGHT DAMAGES FROM MERRILL LYNCH AND MR. VALDES IN   THE WAKE OF THE SUBSEQUENT MARKET DOWNTURN AND BEAR MARKET.  AFTER RECEIVING ADDITIONAL INFORMATION, THE CUSTOMERS WITHDREW ALL   CLAIMS AGAINST MR. VALDES WITH PREJUDICE.  MERRILL LYNCH ULTIMATELY SETTLED THE MATTER TO AVOID THE COSTS, TIME AND VAGARIES OF ARBITRATION, WITHOUT ANY ADMISSION OF LIABILITY.\"]}}, {\"eventDate\": \"7/1/2003\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CLAIMANTS ALLEGE UNSUITABILITY WITH RESPECT TO RECOMMENDATIONS MADE BY THEIR FA AND THE CONCENTRATION MAINTAINED IN THEIR ACCOUNT.\", \"Damage Amount Requested\": \"$800,000.00\", \"Settlement Amount\": \"$120,000.00\", \"DisplayAAOLinkIfExists\": \"Y\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"03-04348\", \"Broker Comment\": [\"BOTH MERRILL LYNCH AND MR. VALDES DENIED ANY LIABILITY IN THIS MATTER.  THE MATTER WAS ONE OF SEVERAL COMPLAINTS BY CUSTOMERS WHO   WORKED WITH EACH OTHER RELATING TO LOSSES FROM IPO STOCK THE CUSTOMERS RECEIVED WHEN THEIR EMPLOYER WENT PUBLIC.  THE CUSTOMERS   DID NOT HEED MR. VALDES' RECOMMENDATION TO DIVERSIFY THEIR HOLDINGS.  THE CUSTOMERS WITHDREW ALL COMPLAINTS AGAINST MR. VALDES   WITH PREJUDICE.  MERRILL LYNCH ULTIMATELY AGREED TO PAY CUSTOMERS TO AVOID THE FURTHER COSTS, TIME AND DISTRACTION OF ARBITRATION,   WITHOUT ANY ADMISSION OF LIABILITY.\"]}}, {\"eventDate\": \"11/11/2002\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CLAIMANT ALLEGES THAT HER FINANCIAL ADVISOR DID NOT DO ENOUGH TO ENCOURAGE HER TO DIVERSIFY HER PROTFOLIO THAT WAS INITIALLY CONCENTRATED IN ONE STOCK AND THEN LATER DISSUADED HER FROM SELLING ADDITIONAL SHARES OF THAT STOCK BECAUSE MERRILL LYNCH ANALYSTS RATED THE STOCK HIGHLY.  CLAIMANT SEEKS DAMAGES BETWEEN $250,000 AND $400,000.\", \"Damage Amount Requested\": \"$250,000.00\", \"Settlement Amount\": \"$90,000.00\", \"DisplayAAOLinkIfExists\": \"Y\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"02-6462\", \"Broker Comment\": [\"BOTH MERRILL LYNCH AND MR. VALDES DENIED ANY LIABILITY IN THIS MATTER.  THE MATTER WAS ONE OF SEVERAL COMPLAINTS BY CUSTOMERS WHO   WORKED WITH EACH OTHER RELATING TO LOSSES FROM IPO STOCK THE CUSTOMERS RECEIVED WHEN THEIR EMPLOYER WENT PUBLIC.  THE CUSTOMER   CONCEDED THAT MR. VALDES RECOMMENDED SHE REDUCE HER CONCENTRATED STOCK POSITION AND SHE DID NOT DO SO.  THE CUSTOMER AGREED   TO WITHDRAW HER CLAIM AGAINST MR. VALDES WITH PREJUDICE.  MERRILL LYNCH ULTIMATELY SETTLED THE MATTER TO AVOID THE FURTHER COST, TIME   AND DISTRACTION OF ARBITRATION, WITHOUT ANY ADMISSION OF LIABILITY.\"]}}, {\"eventDate\": \"6/27/2002\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Award / Judgment\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"NEGLIGENCE; MISREPRESENTATIONS/NON-DISCLOSURES; UNAUTHORIZED TRADING; SUITABILITY\", \"Damage Amount Requested\": \"$150,000.00\", \"DisplayAAOLinkIfExists\": \"Y\", \"arbitrationClaimFiledDetail\": \"02-03887\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"BOTH MERRILL LYNCH AND MR. VALDES DENIED ANY LIABILITY IN THIS MATTER.  THE CUSTOMER SUSTAINED LOSSES THAT MIRRORED THE PERFORMANCE   OF THE S&P 500 DURING THE SAME BEAR MARKET PERIOD (2000-01).  MR. VALDES REGULARLY DISCUSSED WITH THE CUSTOMER THE RISKS OF   INVESTING IN AND CONTINUING TO HOLD EQUITIES DURING THAT PERIOD.  AFTER RECEIVING ADDITIONAL INFORMATION, THE CUSTOMERS WITHDREW ALL   CLAIMS AGAINST MR. VALDES WITH PREJUDICE.  MERRILL LYNCH ULTIMATELY SETTLED THIS MATTER TO AVOID THE COST, TIME AND VAGARIES OF   ARBITRATION, WITHOUT ANY ADMISSION OF LIABILITY.\"]}}, {\"eventDate\": \"4/18/2002\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CUSTOMERS ALLEGE \\\"EXCESSIVE TRADING\\\", THE PURCHASE OF SECURITES WHICH WERE UNSUITABLE AND TRANSACTIONS :BEING EFFECTED WITHOUT PERMISSION.\\\"  CLAIMANT DEMANDS DAMAGES BETWEEN $1,000,000 AND $3,000,000.\", \"Damage Amount Requested\": \"$3,000,000.00\", \"Settlement Amount\": \"$400,000.00\", \"DisplayAAOLinkIfExists\": \"Y\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"2002-010108\", \"Broker Comment\": [\"BOTH MERRILL LYNCH AND MR. VALDES DENIED ANY LIABILITY IN THIS MATTER.  IN DENYING THE ALLEGATIONS, MERRILL LYNCH AND MR. VALDES   SPECIFICALLY STATED THAT THE SOLICITED INVESTMENTS WERE DISCUSSED BEFOREHAND; A SUBSTANTIAL MAJORITY OF THE TRADES WERE UNSOLICITED;  A NUMBER OF THE UNSOLICITED TRADES WERE MADE IN COMPANIES NOT FOLLOWED BY MERRILL LYNCH; AND THE ULTIMATE CUSTOMERS WERE   EXPERIENCED INVESTORS WHO HAD AUTHORITY TO TRADE ON THE ACCOUNT(S), EXERCISED FULL CONTROL OVER THE ACCOUNT(S) AND CONDUCTED THE   TRADING ACTIVITY PURSUANT TO THEIR OWN AGGRESSIVE SHORT TERM TRADING STRATEGY.  AFTER RECEIVING ADDITIONAL INFORMATION, THE CUSTOMERS   WITHDREW ALL COMPLAINTS AGAINST MR. VALDES WITH PREJUDICE.  MERRILL LYNCH ULTIMATELY SETTLED THE MATTER TO AVOID THE COST, TIME AND   VAGARIES OF ARBITRATION, WITHOUT ANY ADMISSION OF LIABILITY.\"]}}, {\"eventDate\": \"9/7/2001\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"STATEMENT OF CLAIM (\\\"SOC\\\") ACKNOWLEDGES THAT CUSTOMER'S PORTFOLIO WAS ALREADY CONCENTRATED IN A SPECIFIC STOCK AND MARGINED WHEN HE TRANSFERRED HIS ACCOUNT TO MERRILL LYNCH, AND THAT VALDES RECOMMENDED SELLING THAT STOCK TO REDUCE MARGIN EXPOSURE. SOC ALLEGES THAT WHEN THE CUSTOMER REJECTED THE SUGGESTION TO SELL, THREE PURCHASE TRANSACTIONS IN OTHER SECURITIES WERE SOLICITED USING MARGIN TO INCREASE RISK.  SOC ALSO ALLEGES FLAWED RESEARCH LED CUSTOMER TO HOLD THE STOCK POSITION.\", \"Damage Amount Requested\": \"$900,000.00\", \"Settlement Amount\": \"$95,000.00\", \"DisplayAAOLinkIfExists\": \"Y\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"01-06805\", \"Broker Comment\": [\"BOTH MERRILL LYNCH AND MR. VALDES DENIED ANY LIABILITY IN THIS MATTER.  THE MATTER WAS ONE OF SEVERAL COMPLAINTS BY CUSTOMERS WHO   WORKED WITH EACH OTHER RELATING TO LOSSES FROM IPO STOCK THE CUSTOMERS RECEIVED WHEN THEIR EMPLOYER WENT PUBLIC.  THE CUSTOMER    REFUSED TO DIVERSIFY HIS POSITION AND BLAMED MERRILL LYNCH AND MR. VALDES FOR HIS LOSSES.  THE CUSTOMER AGREED TO WITHDRAW HIS   CLAIM AGAINST MR. VALDES WITH PREJUDICE.  MERRILL LYNCH ULTIMATELY SETTLED THE MATTER TO AVOID THE FURTHER COST, TIME AND DISTRACTION   OF ARBITRATION, WITHOUT ANY ADMISSION OF LIABILITY.\"]}}, {\"eventDate\": \"7/26/2001\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Closed-No Action\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CUSTOMERS ALLEGE THAT FINANCIAL ADVISOR MADE UNSUITABLE INVESTMETN RECOMENDATIONS. NO SPECIFIC DAMAGE IS ALLEGED.\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"MERRILLL YNCH AND FINANCIAL ADVISOR DENY THE ALLEGATION.\\r\\nCLAIM WAS DENIED AND NO FURTHR ACTION TAKEN BY THE CUSTOMER.\"]}}, {\"eventDate\": \"1/20/1999\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CUSTOMER ALLEGES THAT MR. VALDES SHORTED\\r\\nCERTAIN STOCKS WITHOUT HIS AUTHORIZATION. NO DAMAGES ARE\\r\\nSPECIFIED. THIS OCCURRED AT MERRILL LYNCH.\", \"Settlement Amount\": \"$28,728.00\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"THE TRADES IN QUESTION WERE REVERSED AS A\\r\\nBUSINESS DECISION AT A COST OF $28,728.\\r\\nTHE CLIENT IS ACTUALLY DISAPPOINTED IN THE STOCKS\\r\\nMR VALDES RECOMMENDED HE SHORT SELL. ALL TRADES WERE DONE BY\\r\\nMR. VALDES WITH CLIENT'S FULL KNOWLEDGE AND AUTHORIZATION. ON\\r\\nTHE SAME DAY IN QUESTION CLIENT ALSO DID TAX LOSS SELLING WHICH\\r\\nTHE CLIENT HAS NOT RAISED ANY ISSUE WITH.\"]}}, {\"eventDate\": \"11/6/1997\", \"disclosureType\": \"Regulatory\", \"disclosureResolution\": \"Final\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"DocketNumberFDA\": \"\", \"DocketNumberAAO\": \"\", \"Initiated By\": \"AMEX\", \"Allegations\": \"The Exchange instituted a formal disciplinary\\r\\nproceeding against Michael Valdes (\\\"Valdes\\\"), a registered\\r\\nemployee of Merrill Lynch, Pierce, Fenner & Smith, a regular\\r\\nmember organization of the Exchange. A Stipulation of Facts and\\r\\nConsent to Penalty was subsequently entered into between the\\r\\nExchange and Valdes and was accepted by an Exchange\\r\\nDisciplinary Panel at a hearing held on September 24, 1997.\\r\\nValdes consented to a finding that he violated Exchange Rule\\r\\n411 by recommending and implementing a trading strategy which\\r\\nwas unsuitable for his customers' accounts based upon the\\r\\ncustomers' investment objectives, financial situations and\\r\\nneeds, and ability to evaluate and bear the risks of the\\r\\nrecommended transactions; and Exchange Rule 421(a) by\\r\\nexercising discretion in his customers' accounts without first\\r\\nobtaining written authorization from the customers.\", \"Resolution\": \"Stipulation and Consent\", \"SanctionDetails\": [{\"Sanctions\": \"Monetary/Fine\", \"SanctionDetails\": [{\"Amount\": \"$10,000.00\"}]}, {\"Sanctions\": \"Censure\"}], \"Sanction Details\": \"Valdes was censured, fined $10,000, and required\\r\\nthat he re-enter the Regulatory Element of the continuing\\r\\neducation program for registered persons, as required by\\r\\nExchange Rule 341A.\", \"Broker Comment\": [\"Not Provided\"]}}, {\"eventDate\": \"4/14/1997\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CLAIMANT ALLEGED THAT HIS ACCOUNT WAS\\r\\nINVESTED IN STOCKS THAT WERE TOO RISKY CAUSING A SUBSTANTIAL\\r\\nDECLINE IN THE VALUE OF HIS ACCOUNT BETWEEN JANUARY 1991 AND\\r\\nMARCH 1992 AND SOUGHT $31,000 IN COMPENSATORY DAMAGES PLUS\\r\\nUNSPECIFIED COMMISSIONS, LOST TIME VALUE OF MONEY AS WELL AS\\r\\nUNSPECIFIED ATTORNEY'S FEES AND COSTS.  THIS OCCURRED AT\\r\\nMERRILL LYNCH.\", \"Settlement Amount\": \"$22,500.00\", \"DisplayAAOLinkIfExists\": \"Y\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"$22,500\\r\\nTHIS MATTER WAS SETTLED TO AVOID THE TIME,\\r\\nEXPENSE AND UNCERTAINTY OF LITIGATION.  REGISTRANT WANTS TO\\r\\nMAKE IT CLEAR THAT MERRILL LYNCH WAS SUED NOT THE REGISTRANT.\\r\\nMERRILL LYNCH MADE A BUSINESS DECISION TO SETTLE THIS\\r\\nARBITRATION IN ORDER TO AVOID ANY FURTHER EXPENSES ASSOCIATED\\r\\nWITH THIS LITIGATION.\"]}}, {\"eventDate\": \"12/10/1993\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CHURNING, UNAUTHORIZED TRADING, DAMAGES IN\\r\\nEXCESS OF $60,000 ALLEGED.\", \"Settlement Amount\": \"$67,500.00\", \"DisplayAAOLinkIfExists\": \"Y\", \"arbitrationClaimFiledDetail\": \"93-24\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"THIS MATTER WAS SETTLED FOR $67,500.\\r\\nTHE SETTLEMENT WAS REACHED IN ORDER TO AVOID THE\\r\\nUNCERTAINTY AND EXPENSE OF PROTRACTED LITIGATION.\"]}}, {\"eventDate\": \"3/22/1993\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CLAIMS OF CHURNING, UNSUITABILITY AND\\r\\nUNAUTHORIZED TRADING ARE ALLEGED AND THE CUSTOMER SEEKS\\r\\n$255,440 IN DAMAGES.\", \"Damage Amount Requested\": \"$255,440.00\", \"Settlement Amount\": \"$145,000.00\", \"DisplayAAOLinkIfExists\": \"Y\", \"arbitrationClaimFiledDetail\": \"93-00968\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"CASE SETTLED FOR $145,000.\\r\\nALL CHARGES OF WRONGDOING AND LIABILITY AND ALL\\r\\nCLAIMS FOR DAMAGES ARE DENIED.  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