CRAIG IRWIN BLOOM is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 15260 VENTURA BLVD, SHERMAN OAKS, CA, 91403.
CRAIG IRWIN BLOOM has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
CRAIG IRWIN BLOOM has 2 Disclosure Event(s).
Date: October 27, 2009 Category: Customer Dispute Allegations: CLAIMANT ALLEGES, INTER ALIA, THAT BEGINNING IN NOVEMBER OF 2000 THE FINANCIAL ADVISOR FAILED TO FOLLOW INSTRUCTIONS WHEN HE MADE INVESTMENTS OUTSIDE OF THE CLAIMANT'S AGREED UPON EQUITY-BOND RATIO, AND IN AUGUST OF 2008 WHEN HE DIDN'T TIMELY EXECUTE THE CLAIMANT'S SELL ORDER. Damage Amount Requested: $1,000,000.00 Broker Comment: FA ASSERTS, "THIS COMPLIANT IS WITHOUT MERIT AND I STRONGLY DENY ANY ALLEGATIONS. I DO NOT INTEND TO DO ANYTHING MORE UNLESS ADVISE OTHERWISE."
Date: November 04, 2008 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO INVESTMENT GUIDELINES 2007-09/2008. DAMAGES UNSPECIFIED. Settlement Amount: $12,500.00 Broker Comment: FA ASSERTS, "THIS COMPLIANT IS WITHOUT MERIT AND I STRONGLY DENY ANY ALLEGATIONS. I DO NOT INTEND TO DO ANYTHING MORE UNLESS ADVISE OTHERWISE."
More Information
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