J. KEVIN GOLDEN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 500 S TAYLOR STE 320, AMARILLO, TX, 79101.
J. KEVIN GOLDEN has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
J. KEVIN GOLDEN has 2 Disclosure Event(s).
Date: March 14, 2013 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES AN UNSUITABLE INVESTMENT RECOMMENDATION AND MISREPRESENTATION FROM AUGUST 2006 TO OCTOBER 2008. Damage Amount Requested: $33,333.00 Settlement Amount: $25,000.00 Broker Comment: THIS MATTER WAS SETTLED IN ORDER TO AVOID THE COST AND UNCERTAINTY OF LITIGATION. THE FINANCIAL ADVISOR DID NOT CONTRIBUTE MONETARILY TOWARDS THE SETTLEMENT.
Date: March 07, 2007 Category: Customer Dispute Allegations: CLIENTS ALLEGE FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATIONS. Damage Amount Requested: $195,000.00 Settlement Amount: $12,500.00 Broker Comment: COMPLAINT FILE CLOSED WHEN COMPLAINANTS FIELD ARBITRATION AT NYSE REGULATION ON THE SAME CLAIMS IN APRIL 2007 AND DID NOT NAME THE FINANCIAL ADVISOR AS A PARTY. MERRILL LYNCH SUBSEQUENTLY SETTLED THE ARBITRATION, FINRA CASE NO. 2007-016708, FOR A PAYMENT OF $12,500 SOLELY TO AVOID THE EXPENSE AND DISTRACTION OF A HEARING. OWING TO THE AMOUNT OF THE SETTLEMENT RELATIVE TO THE SIZE OF THE CLAIM, THE FINANCIAL ADVISOR HAS OPTED TO DISCLOSE THE FINAL RESOLUTION. FINANCIAL ADVISOR DID NOT CONTRIBUTE TO THE SETTLEMENT. IN-HOUSE COUNSEL FOR MERRILL LYNCH DID NOT FIND EVIDENCE OF ANY SALES PRACTICE VIOLATION BY FINANCIAL ADVISOR.
More Information
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