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
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."
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for ALVIN C BOGRAD, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More