DARRYL MATTHEW COHEN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 73 Pristine Glen Street, LAS VEGAS, NV, 89135.
DARRYL MATTHEW COHEN has worked at MORGAN STANLEY since June 05, 2015
Disclosure History
DARRYL MATTHEW COHEN has 4 Disclosure Event(s).
Date: October 03, 2011 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT HE MADE NUMEROUS ATTEMPTS TO GET HIS FA TO EXECUTE ORDERS TO LIQUIDATE POSITIONS IN HIS TWO ACCOUNTS, BUT THAT HIS ORDERS WERE NOT EXECUTED AS INSTRUCTED. ALLEGES DAMAGES ARE UNSPECIFIED BUT BELIEVED TO EXCEED $5,000. (09/27/2011-10/03/2011) Broker Comment: THE COMPLAINT IS DENIED. THE CLIENT SOUGHT TO LIQUIDATE A UNIT INVESTMENT TRUST POSITION. THIS TRANSACTION REQUIRED ADDITIONAL VERIFICATION AND DISCLOSURE DOCUMENTS TO BE PROVIDED BY THE CLIENT TO THE UNIT INVESTMENT TRUST SPONSOR/TRUSTEE. THE LIQUIDATION COULD NOT HAVE OCCURRED WITHIN THE TIME FRAME SOUGHT BY THE CLIENT. THIS POINT WAS DISCLOSED AT OR NEAR THE TIME THE INVESTMENT WAS INITIALLY AUTHORIZED.
Date: April 05, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT AN UNAUTHORIZED JOURNAL TRANSFER FROM HIS ACCOUNT WAS MADE TO ANOTHER CUSTOMER OF THE REGISTERED REPRESENTATIVE. (5/30/2008) Damage Amount Requested: $10,000.00 Settlement Amount: $16,500.00
Date: July 06, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT FUNDS WERE IMPROPERLY TRANSFERRED FROM HIS ACCOUNT TO ANOTHER CUSTOMER OF THE REGISTERED REPRESENTATIVE. (2/5/2009-4/23/2009) Damage Amount Requested: $78,047.28
Date: November 05, 2001 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE UNSUITABLE AND UNAUTHORIZED TRADING IN THEIR ACCOUNTS. Damage Amount Requested: $96,000.00 Damages Granted: $81,851.00
More Information
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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.
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