HOWARD ALLEN LEE is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 100 & 200 N WESTLAKE BLVD, SUITE 200 & 207, WESTLAKE VILLAGE, CA, 91362.
HOWARD ALLEN LEE has worked at MORGAN STANLEY since September 10, 2010
Disclosure History
HOWARD ALLEN LEE has 2 Disclosure Event(s).
Date: May 20, 2016 Category: Customer Dispute Allegations: Claimants allege that from 2010 to 2016 the FA made unsuitable investment recommendations and engaged in unauthorized trading. Damage Amount Requested: $175,000.00 Settlement Amount: $30,000.00 16-01351
Date: October 19, 2015 Category: Customer Dispute Allegations: The claimants are alleging, inter alia, unsuitable recommendations with respect to investments in accounts - September 2010 to February 2015. Damage Amount Requested: $2,700,000.00 Settlement Amount: $82,500.00 15-02687
More Information
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