ALBERT EDWARD CARPENTER is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 1100 POYDRAS STREET, SUITE 1900, NEW ORLEANS, LA, 70163.
ALBERT EDWARD CARPENTER has worked at MORGAN STANLEY since June 01, 2009
ALBERT EDWARD CARPENTER has 4 Disclosure Event(s).
Date: May 09, 2018 Category: Customer Dispute Allegations: CLIENT ALLEGES, INTER ALIA, THAT RECOMMENDATION TO CONTINUE TO HOLD INVESTMENT IN ENERGY STOCK WAS UNSUITABLE. 2015-2017 DAMAGES UNSPECIFIED
Date: April 01, 2009 Category: Customer Dispute Allegations: THE CLIENT ALLEGE FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO INVESTMENTS - 2008.DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
Date: June 03, 2008 Category: Customer Dispute Allegations: COMPLAINT REGARDING AUCTION RATE SECURITIES THAT ALLEGED MISREPRESENTATION. 01/01/07-03/31/08 Settlement Amount: $2,500.00
Date: February 15, 1994 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE VIOLATIONS OF STATESECURITIES LAW, RICO, BREACH OF FIDUCIARY DUTY, NEGLIGENCE,BREACH OF CONTRACT AND FRAUD; ALLEGE DAMAGES OF $341,000;ALLEGATIONS INVOLVE LIMITED PARTNERSHIP INVESTMENTS IN GEODYNE,PAINEWEBBER INCOME PROPERTIES, PAINEWEBBER EQUITY PARTNERS ANDCORPORATE PROPERTY. Damage Amount Requested: $341,000.00 Settlement Amount: $164,000.00 Broker Comment: PAINEWEBBER PAID CLAIMANTS $164,000 AS PART OFTHE SETTLEMENT. PAINEWEBBER EXPLICITYLY DENIES LIABILTY IN THISARBITRATION. FURTHERMORE, THE PARTIES ACKNOWLEDGE THAT THEEXECUTION OF THE SETTLEMENT AGREEMENT SHOULD NOT BE PURPOSE OFAVOIDING COSTLY AND TIME CONSUMING LITIGATION OF A DOUBTFUL ANDDISPUTED CLIAM.Not Provided
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