HOWARD GUGGENHEIM is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 595 SOUTH FEDERAL HIGHWAY, BOCA RATON, FL, 33432.
HOWARD GUGGENHEIM has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
HOWARD GUGGENHEIM has 2 Disclosure Event(s).
Date: March 07, 2003 Category: Customer Dispute Allegations: FAILURE TO SUPERVISE 10/99 TO JANUARY 2000. Damage Amount Requested: $500,000.00 Settlement Amount: $245,000.00
Date: January 06, 1997 Category: Customer Dispute Allegations: FAILURE TO SUPERVISE. PRODUCT: BONDS.ALLEGED DAMAGES: $200,000.00 Damage Amount Requested: $200,000.00 Settlement Amount: $55,545.06 Broker Comment: ALL CLAIMS AGAINST MR. GUGGENHEIM WERE DISMISSEDWITH PREJUDICE. SMITH BARNEY INC SETTLED THIS MATTER WITH NOADMISSION OF LIABILITY FOR $55,000.00 AND AGREED TO RETURN3,099.47 SHARES OF EATON VANCE MARATHON NATIONAL MUNICIPALFUND, WHICH HAD BEEN TRANSFERRED OUT OF CLAIMANT`S ACCOUNT DUETO AN INADVERTENT OPERATIONAL ERROR AND TO PAY $545.06 IN LOSTDIVIDENDS ON THOSE SHARES.CONTACT: SUSAN HARKINS, ESQ (212) 816-8006
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