GEORGE RALPH SMITH is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 90 MERCHANTS ROW, RUTLAND, VT, 05702.
GEORGE RALPH SMITH has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
GEORGE RALPH SMITH has 2 Disclosure Event(s).
Date: January 24, 2000 Category: Customer Dispute Allegations: CHURNING IN CONNECTION WITH THE PURCHASE OF 1000 DSP GROUP ON 9/11/95 AND SALE ON 12/28/95; PURCHASE OF 1000 SAFETY COMPONENTS ON 9/20/95 AND 12/06/95; PURCHASE OF 1000 GLOBAL VILLAGE COMMUNICATIONS ON 6/21/96 AND SALE ON 11/01/99. Damage Amount Requested: $39,606.81 Broker Comment: NO DISCIPLINARY ACTION TAKEN. CLOSED INVESTIGATION FILE.
Date: May 07, 1998 Category: Customer Dispute Allegations: ALLEGED MISREPRESENTATION IN SOLICITINGNUMBEROUS UNSPECIFIED EQUITY TRANSACTIONS; CHURNING,DISCRETIONARY TRADING AND UNSUITABILITY RESULTING INAPPROXIMATELY $80M LOSS. OLDE WAS THE EMPLOYING FIRM WHEN THEEVENTS OCCURED. Damage Amount Requested: $80,000,000.00 Broker Comment: DETERMINED THERE IS NO MERIT TO CLAIM. NOPAYMENT OR SETTLEMENT.RECOMMENDATIONS MADE WERE CONSISTENT WITH STATEDOBJECTIVES AND TRADING PATTERN. CUSTOMER AWARE OF ACCOUNTACTIVITY AND MADE THE DECISIONS. AFTER BROKER LEFT OLDE,CUSTOMER CONTINUED TRADING ON SHORT-TERM BASIS.
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