BAYLIS MCKEE GRUBER is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at GEORGIA 400 CENTER, 2400 LAKEVIEW PARKWAY, SUITE 300, ALPHARETTA, GA, 30009.
BAYLIS MCKEE GRUBER has worked at MORGAN STANLEY since June 01, 2009
BAYLIS MCKEE GRUBER has 2 Disclosure Event(s).
Date: August 17, 1987 Category: Regulatory Initiated By: MISSISSIPPI Allegations: ON AUGUST 17, 1987, THE STATE OF MISSISSIPPI REJECTED GRUBER'S APPLICATION FOR REGISTRATION "DUE TO DISCIPLINARY HISTORY. U6 (DISCLOSES REASON FOR DENIAL: BECAUSE OF DISCIPLINARY HISTORY. Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: NONE Broker Comment: ON 8/17/87, THE STATE OF MISSISSIPPI DENIED BAYLIS MCKEE GRUBER'S APPLICATION FOR REGISTRATION DUE TO DISCIPLINARY HISTORY ON U4.ON 2/14/89, MISSISSIPPI GRANTED BAYLIS REGISTRATION.
Date: December 14, 1982 Category: Customer Dispute Allegations: BREACH OF CONTRACT-A/C RELATED ACCT RELATED- NEGLIGENCE; BREACH OF FIDICIARY DUTY; FRAUD; OTHER-VIOL SEC 15 & 17(A) SEC ACT 1933; SECT 10B & 20(A) SEC EXCH ACT 1934 & RULE 10B-5 THEREUNDER; NYSE RULES 345.18, 352, 401, 405, 408, 721,722, 723, 724, 726; R.F.P (ART. III SECT. 2, 15, 18, 27); FLA STATUTES CHAP. 517, CHAP 11 812, CHAP 501, PART II, CHAP. 892. ALLEGED COMPENSATORY DAMAGE AMOUNT UNKNOWN. Damages Granted: $83,140.00 Broker Comment: AWARD/MONETARY JUDGEMENT TO CUSTOMER-$83,140.00 ACTUAL/COMPENSATORY $33,000.00; ATTORNEY FEES $20,000.00; OTHER COSTS $5,140.00; PUNITIVE EXEMPLARY $25,000.00. JOINT/SEVERAL: NO. I WAS CHARGED BECAUSE I WAS THE BRANCH MANAGER, AND NOT CHARGED AS A BROKER.
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