GREGORY KAHSIN CHOU is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 33 LONO AVENUE, SUITE 330, KAHULUI, HI, 96732.
GREGORY KAHSIN CHOU has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
GREGORY KAHSIN CHOU has 1 Disclosure Event(s).
Date: July 01, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT FINANCIAL ADIVISOR REPRESENTED THAT AUCTION RATE SECURITIES WERE A LIQUID INVESTMENT. UNABLE TO CONCLUDE THAT DAMAGES ARE UNDER $5,000. Settlement Amount: $1,000,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE TRANSACTION(S) AT ISSUE TOOK PLACE BEFORE THE EVENTS OF MID-FEBRUARY 2008, WHEN THE ARS MARKET SUFFERED WIDESPREAD AUCTION FAILURES AND ILLIQUIDITY. THE FINANCIAL ADVISOR DID NOT CAUSE, CONTRIBUTE OR HAVE ANY CONTROL WHATSOEVER OVER THESE EVENTS. THE FIRM REPURCHASED THE ARS AT ISSUE FOR THEIR FULL PAR VALUE. THE FINANCIAL ADVISOR DID NOT MAKE ANY PAYMENTS TO THE CLIENT, WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE REPURCHASE AMOUNT. THE AMOUNT OF THE SETTLEMENT REPORTED ABOVE IS BASED ON FINRA REGULATORY NOTICE 09-12, WHICH PROVIDES THAT THE AMOUNT OF THE SETTLEMENT OF ARS MATTERS SUCH AS THIS ONE MUST BE REPORTED AS THE FULL PAR VALUE OF THE REPURCHASED ARS.
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