C MARK TINGLE is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 55 CASCADE LANE, REHOBOTH BEACH, DE, 19971.
C MARK TINGLE has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
C MARK TINGLE has 3 Disclosure Event(s).
Date: November 05, 2015 Category: Regulatory
Date: October 09, 2014 Category: Customer Dispute Allegations: CLIENT VERBALLY ALLEGED, INTER ALIA, EXCESSIVE TRADING WITH RESPECT TO TRADES IN THE ACCOUNT - SEPTEMBER 2011TO JULY 2014. Settlement Amount: $40,954.50
Date: October 01, 2009 Category: Customer Dispute Allegations: IT IS CLAIMED THAT FINANCIAL ADVISOR ALLEGEDLY FAILED TO FOLLOW INSTRUCTIONS TO SELL STOCK AS DIRECTED ON OR AROUND OCTOBER 29, 2007. Damage Amount Requested: $81,815.45 Broker Comment: CLIENTS WAITED A YEAR AND A HALF TO ALLEGE FAILURE TO FOLLOW SELL INSTRUCTIONS AND, IN THE INTERIM, MADE AN ADDITIONAL PURCHASE OF THE SECURITY AT ISSUE. THEIR COMPLAINT IS WITHOUT MERIT.
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