BRIAN JAMES BURNS

BRIAN JAMES BURNS is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 1200 MT. KEMBLE AVENUE, MORRISTOWN, NJ, 07960.

BRIAN JAMES BURNS has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

BRIAN JAMES BURNS has 2 Disclosure Event(s).

Date: July 10, 2002
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENTS IN A MUTUAL FUND AND INAPPROPRIATE SWITCHED FUND CLASSES.
Damage Amount Requested: $21,000.00
Settlement Amount: $24,900.00

Date: March 05, 2002
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT INSTEAD OF DIVERSIFICATION, HE WAS PLACED IN THREE OR FOUR FUNDS, ONE OF WHICH WAS THE MERRILL LYNCH FOCUS 20 FUND. NO SPECIFIC DAMAGES ALLEGED.

More Information

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 BRIAN JAMES BURNS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.