HANK ELITZER

HANK ELITZER is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at Water Tower Hill, 105 West View Rd., 5th Floor, Colchester, VT, 05446.

HANK ELITZER has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

HANK ELITZER has 2 Disclosure Event(s).

Date: January 19, 2010
Category: Regulatory
Initiated By: STATE OF VERMONT DEPARTMENT OF BANKING, INSURANCE, SECURITIES AND HEALTH CARE ADMINISTRATION
Allegations: MR. ELITZER MISTAKENLY CERTIFIED THAT HE HAD SATISIED HIS INSURANCE CONTINUING EDUCATION REQUIREMENTS.
Resolution: Stipulation and Consent SanctionDetails:
Sanctions: Civil and Administrative Penalty(ies)/Fine(s)

Date: December 21, 1999
Category: Customer Dispute
Allegations: CLIENT ALLEGED THAT CERTAIN OPTIONS TRANSACTIONS MADE IN HIS ACCOUNT WERE NOT IN ACCORDANCE WITH HIS INSTRUCTIONS AND WERE MISREPRESENTED. 1999
Damage Amount Requested: $100,000.00
Broker Comment: THE CLIENT'S CLAIM WAS DENIED.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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