ANNA MARIA SOMOZA

ANNA MARIA SOMOZA is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 201 SOUTH BISCAYNE BLVD, MIAMI, FL, 33131.

ANNA MARIA SOMOZA has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

ANNA MARIA SOMOZA has 2 Disclosure Event(s).

Date: July 22, 2010
Category: Regulatory

Date: September 09, 2008
Category: Employment Separation After Allegations
Firm Name: UBS INTERNATIONAL INC.
Termination Type: Discharged
Allegations: PRIOR TO TERMINATION, FINANCIAL ADVISOR WAS CONFRONTED WITH THE ALLEGATIONS THAT SHE WAS CHANGING THE PHONE NUMBERS AND EMAIL ADDRESSES FOR A NUMBER OF UBS INTERNATIONAL INC. CLIENTS SERVICED BY HER.

More Information

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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.

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