IRA STEVENS MILLER is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 28 EAST MAIN STREET, 12TH FLOOR, ROCHESTER, NY, 14614.
IRA STEVENS MILLER has worked at MORGAN STANLEY since June 01, 2009
IRA STEVENS MILLER has 6 Disclosure Event(s).
Date: March 25, 2009 Category: Regulatory
Date: January 17, 2008 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE BRANCH MANAGER FAILED TO SUPERVISE FINANCIAL ADVISOR MICHAEL KAZACOS. NO DATES SPECIFIED. NO DAMAGES SPECIFIED. Settlement Amount: $234,968.00 Broker Comment: MR. MILLER WAS NAMED IN HIS CAPACITY AS A COMPLEX MANAGER AND DID NOT SERVE AS FINANCIAL ADVISOR FOR ANY OF THE CLAIMANTS' ACCOUNTS. THE FIRM ELECTED TO SETTLE THIS MATTER FOR A SMALL PERCENTAGE OF THE ALLEGED DAMAGES WITHOUT ADMITTING LIABILITY TO AVOID THE EXPENSE AND INCONVENIENCE OF ARBITRATION. MR. MILLER DID NOT CONTRIBUTE TO THE SETTLEMENT.
Date: July 21, 2004 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE THEY LOST APPROXIMATELY $260,000 AS A RESULT OF THE UNSUITABLE INVESTMENT ADVICE THEY RECEIVED ON THE PART OF MORGAN STANLEY FINANCIAL THROUGH MICHAEL KAZACOS. A STATEMENT OF CLAIM HAS BEEN FILED AND WE ARE PREPARING TO INTERPOSED AN ANSWER ON BEHALF OF THE FIRM AND THE FA. Damage Amount Requested: $260,000.00 Settlement Amount: $85,000.00 Broker Comment: MR. MILLER WAS THE MANAGER OF THE BRANCH OFFICE WHERE THE ACCOUNT AT ISSUE WAS HELD AND WAS NOT THE BROKER OF RECORD FOR THE ACCOUNT.
Date: July 16, 2002 Category: Customer Dispute Allegations: ALLEGED INVESTMENT PERFORMED POORLY, ACCOUNT WAS MISMANAGED, CHARGED EXCESSIVE FEES AND MISREPRESENTATIONS SEEKING $605,000. Damage Amount Requested: $605,000.00 Broker Comment: COMPLAINT IS BY MR. MILLER'S BROTHER IN LAW. HE DENIES ALL ALLEGATIONS. COMPLAINT WAS REJECTED AFTER REVIEW.
Date: February 12, 2002 Category: Customer Dispute Allegations: ALLEGED UNSUITABLE INVESTMENTS IN IRA ACCOUNTS. Damage Amount Requested: $240,000.00 Damages Granted: $120,000.00
Date: March 01, 1993 Category: Customer Dispute Allegations: ALLEGED INTER ALIA, LACK OF SUITABILITY INCONNECTION WITH INVESTMENT IN REAL ESTATE LIMITED PARTNERSHIP &HIGH YIELD BOND FUND. THEY REQUESTED $30K IN DAMAGES. MILLERSERVED AS BRANCH MGR. & WAS NAMED IN A SUPERVISORY CAPACITY. Damage Amount Requested: $30,000.00 Settlement Amount: $15,100.00 Broker Comment: CUSTOMERS AGREED TO WITHDRAW THE STATEMENT OFCLAIM & CONVEY THEIR INTEREST IN THE LIMITED PARTNERSHIP BACKTO DEAN WITTER IN RETURN FOR A SETTLEMENT PAYMENT OF $15,100.N/A
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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.
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