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

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.

To view the full report for HOWARD ALLEN LEE, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.