DONALD HENRY ESPENAN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 1100 POYDRAS STREET, SUITE 1900, NEW ORLEANS, LA, 70163.
DONALD HENRY ESPENAN has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
DONALD HENRY ESPENAN has 2 Disclosure Event(s).
Date: November 05, 2010 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE, INTER ALIA, THAT BEGINNING IN FEBRUARY OF 2005, AND MAY OF 2008 THE FINANCIAL ADVISOR MADE UNSUITABLE AND OVERCONCENTRATED INVESTMENTS IN THE CLAIMANTS' RETIREMENT ACCOUNTS. Damage Amount Requested: $382,762.00 Settlement Amount: $120,000.00 Broker Comment: FA DID NOT CONTRIBUTE TO THE SETTLEMENT. THE MATTER WAS SETTLED FOR BUSINESS REASONS AND TO AVOID THE COST AND RISK OF LITIGATION.
Date: January 09, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGED FC FAILURE TO FOLLOW CLIENT'S INSTRUCTIONS FOR CONSERVATIVE INVESTMENTS, INVESTMENTS WERE UNSUITABLE.1996-2002DAMAGES UNSPECIFIED Broker Comment: CLAIM DENIED.
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