FRANK EARL SUTHERLAND is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 501 RIVER ST, GREENVILLE, SC, 29601.
FRANK EARL SUTHERLAND has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
FRANK EARL SUTHERLAND has 2 Disclosure Event(s).
Date: July 31, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGES, INTER ALIA, THAT HE DID NOT RECEIVE ADEQUATE DISCLOSURES IN CONNECTION WITH AUCTION RATE SECURITIES PURCHASED AFTER 2/13/08. Damage Amount Requested: $800,000.00 Settlement Amount: $800,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, IN ACCORDANCE WITH FINRA REGULATORY NOTICE 09-12.
Date: June 26, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGES, INTER ALIA, THAT HE DID NOT RECEIVE ADEQUATE DISCLOSURES IN CONNECTION WITH AUCTION RATE SECURITIES PURCHASED AFTER 2/13/08. Damage Amount Requested: $1,365,000.00 Settlement Amount: $1,365,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, IN ACCORDANCE WITH FINRA REGULATORY NOTICE 09-12.
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