ARTHUR PANCOE is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at N1824 E. VALLEY PARK ROAD, LAKE GENEVA, WI, 53147.
ARTHUR PANCOE has worked at MORGAN STANLEY since June 01, 2009
ARTHUR PANCOE has 3 Disclosure Event(s).
Date: April 20, 2001 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE THAT THE RR'S FAILED TO FOLLOW THE OBJECTIVES OF PROVIDING INCOME TO PAY FOR CUSTOMER'S EXPENSES BY SELLING THE FIXED INCOME INVESTMENTS RATHER THAN THE EQUITY POSITIONS. WE HAVE MADE A GOOD FAITH DETERMINATION THAT THE DAMAGES FROM THE ALLEGED CONDUCT WOULD BE MORE THAN $5,000. Damage Amount Requested: $5,000.00 Broker Comment: I DENY ANY WRONGDOING. WE WERE IN CONSTANT COMMUNICATION WITH THE TRUSTEES, BOTH WRITTEN AND VERBAL. THE INVESTMENTS AND STRATEGIES WERE DISCUSSED AT LENGTH WITH THEM PRIOR TO THE OPENING OF THE ACCOUNT AND CONTINUED DURING THE RELATIONSHIP. THEY AUTHORIZED THE INVESTMENT STRATEGY AS WELL AS THE PURCHASE OF EQUITIES AS INVESTMENTS.
Date: January 21, 2000 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT I FAILED TO FOLLOW THE INSTRUCTIONS IN A COURT ORDER SHE MAILED TO ME IN 1994 AND ALLOWED HER HUSBAND TO WITHDRAW OVER $200,000 FROM THEIR JOINT ACCOUNT WITHOUT HER KNOWLEDGE. Damage Amount Requested: $200,000.00
Date: January 21, 2000 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT SINCE JANUARY 1999, I HAVE ENTERED UNAUTHORIZED TRADES IN HER ACCOUNT. WE HAVE MADE A GOOD FAITH DETERMINATION THAT THE DAMAGES FROM THE ALLEGED CONDUCT WOULD BE MORE THAN $5,000. Damage Amount Requested: $5,000.00
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