DOUGLAS SCOTT KEITH is currently employed as a Broker and/or Investment Adviser at CANTELLA & CO., INC. located at 33 LAUREL LANE, ELIOT, ME, 03903.
DOUGLAS SCOTT KEITH has worked at CANTELLA & CO., INC. since October 25, 2010
Disclosure History
DOUGLAS SCOTT KEITH has 1 Disclosure Event(s).
Date: February 25, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT HE SHOULD HAVE BEEN ADVISED THAT A BOND HE PURCHASED THROUGH HIS PRIOR BROKER HAD A SURVIVOR'S BENEFIT. Damage Amount Requested: $35,063.50 Settlement Amount: $3,500.00 Broker Comment: MORGAN STANLEY SETTLED THIS MATTER TO AVOID THE COST AND UNCERTAINTY OF LITIGATION. IT SHOULD BE NOTED THAT MR. KEITH WAS NOT THE FINANCIAL ADVISOR FOR THIS CLIENT AT THE TIME OF THE PURCHASE AT ISSUE.
More Information
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