FREDERICK MOFFAT CASWELL is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 100 MIDDLE STREET, 1ST AND 3RD FLOORS, PORTLAND, ME, 04101.
FREDERICK MOFFAT CASWELL has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
FREDERICK MOFFAT CASWELL has 1 Disclosure Event(s).
Date: February 23, 2003 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABLE TRADING AND INAPPOPRIATE USE OF MARGIN. Damage Amount Requested: $1,985,894.00 Settlement Amount: $50,000.00 Broker Comment: " ALL CLAIMS AGAINST ME WERE WITHDRAWN PRIOR TO SETTLEMENT. I DID NOT CONTRIBUTE IN ANY WAY TO THE SETTLEMENT."
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