ALVIN C BOGRAD is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 61 South Paramus Road, Paramus, NJ, 07652.
ALVIN C BOGRAD has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
ALVIN C BOGRAD has 2 Disclosure Event(s).
Date: August 05, 2003 Category: Customer Dispute Allegations: ALLEGED CHURNING, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, NEGLIGENCE, MISREPRESENTATION AND BREACH OF NASD AND NYSE CUSTOMER PROTECTION RULES BETWEEN 4/95 - 10/00. Damage Amount Requested: $250,000.00 Settlement Amount: $10,000.00 Broker Comment: "REGISTRANT VIGOROUSLY DENIES CLAIMANT'S ALLEGATIONS AND CHARACTERIZATIONS OF THIS MATTER BY HIS FORMER EMPLOYER. CLAIMANT DISMISSED THIS ARBITRATION AGAINST FINANCIAL ADVISOR WITH PREJUDICE AND AGREED TO FUTURE EXPUNGEMENT OF THIS MATTER."
Date: March 21, 2002 Category: Customer Dispute Allegations: ALLEGED AIDING AND ABETTING UNILATERAL WITHDRAWAL AND CONVERSION FOR ONE JOINT TENANT'S USE. ALSO NEGLIGENCE, FRAUD, BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, AND VIOLATIONS OF NASD & NYSE RULES BETWEEN 1/96 - 4/99. Damage Amount Requested: $175,000.00 Settlement Amount: $75,000.00 Broker Comment: "REGISTRANT VIGOROUSLY DENIES CLAIMANT'S ALLEGATIONS AND CHARACTERIZATIONS OF THIS MATTER BY HIS FORMER EMPLOYER. CLAIMANT DISMISSED THE ARBITRATION AGAINST FINANCIAL ADVISOR WITH PREJUDICE AND AGREED TO FUTURE EXPUNGEMENT OF THIS MATTER."
More Information
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