GARY THOMAS GUGLIELMO is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 490 E. PALMETTO PARK ROAD-SUITE 100, BOCA RATON, FL, 33432.
GARY THOMAS GUGLIELMO has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
GARY THOMAS GUGLIELMO has 2 Disclosure Event(s).
Date: March 13, 2017 Category: Customer Dispute Allegations: CLIENT ALLEGED, INTER ALIA, THAT THE PURCHASES OF PUERTO RICO BONDS IN HER ACCOUNT BACK IN 2011 WERE MISREPRESENTED. ALLEGED DAMAGES UNSPECIFIED.
Date: February 20, 2013 Category: Customer Dispute Allegations: CLAIMANT ALLEGES, INTER ALIA, THAT BEGINNING IN 2007 THE FA TRADED EXCESSIVELY IN THE CLIENT'S ACCOUNTS WITHOUT AUTHORIZATION. Damage Amount Requested: $500,000.00 Settlement Amount: $600,000.00 Broker Comment: THIS MATTER WAS SETTLED FOR BUSINESS PURPOSES, WITH NO ADMISSION OF LIABILITY BY THE FIRM OR FINANCIAL ADVISOR. FINANCIAL ADVISOR DID NOT CONTRIBUTE TO SETTLEMENT.
More Information
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