ALAN BROWNE WHITMAN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 55 SOUTH LAKE AVENUE, SUITE 700, PASADENA, CA, 91101.
ALAN BROWNE WHITMAN has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
ALAN BROWNE WHITMAN has 2 Disclosure Event(s).
Date: December 27, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSPECIFIED EXCESSIVE FEES CHARGED IN [HIS] FEE-BASED MANAGED ACCOUNT. UNSPECIFIED DAMAGES MORE THAN $5,000. Broker Comment: MORGAN STANLEY FOUND NO WRONGDOING BY MR. WHITMAN. THE CLIENT SIGNED A MORGAN STANLEY INVESTMENT MANAGEMENT AGREEMENT WHICH DISCLOSED ALL MANAGED ACCOUNT FEES.
Date: December 09, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSPECIFIED EXCESSIVE FEES CHARGED IN HER FEE-BASED MANAGED ACCOUNT. UNSPECIFIED DAMAGES MORE THAN $5,000. Damage Amount Requested: $5,000.00 Broker Comment: MORGAN STANLEY FOUND NO WRONGDOING BY MR. WHITMAN. THE CLIENT SIGNED A MORGAN STANLEY INVESTMENT MANAGEMENT AGREEMENT WHICH DISCLOSED ALL MANAGED ACCOUNT FEES.
More Information
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