JAMES HOLLIS BRANDT is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 1333 N. CALIFORNIA BLVD., WALNUT CREEK, CA, 94596.
JAMES HOLLIS BRANDT has worked at MORGAN STANLEY since June 01, 2009
JAMES HOLLIS BRANDT has 2 Disclosure Event(s).
Date: August 09, 2010 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE THAT RESPONDENTS LIQUIDATED ACCOUNTS OF MEMBERS OF A PROFIT SHARING PLAN WITHOUT PRIOR CONSENT, KNOWLEDGE OR APPROVAL OF THE ACCOUNT HOLDERS. TIME FRAME: FEBRUARY 28, 2009. Damage Amount Requested: $37,750.00 Settlement Amount: $42,500.00 11-02506
Date: January 22, 1986 Category: Criminal Charges: CHRGE WAS THEFT OF LIBRARY PAMPHLETS.ONE COUNT, MISDEMEANOR, NOT GUILTY. Charge Type: MISDEMEANOR Disposition: A. Dismissed B. 04/14/1997, C. FINE, 3 YEAR PROBATION. 06/16/1986-06/16/1989. THE AMOUNT PAID WAS$370.00 Broker Comment: IN THE EARLY 1980'S I HAD MY OWN CONSULTING BUSINESS. ON 12/18/1985 I WAS DOING RESEARCH IN THE SAN JOSE, CA MAIN PUBLIC LIBRARY ON SOUTH KOREA. MY FIRM WAS COMPETING FOR BUSINESS TO PROMOTE THE SEOUL SUMMER OLYMPICS IN THE GREATER BAY AREA. PRIOR TO LEAVING THE LIBRARY I THOUGHT I HAD REPLACED ALL PAMPHLETS AND REFERENCE MATERIAL. I INADVERTENTLY PLACED 2 RESEARCH PAMPHLETS IN MY BRIEF CASE, ALONG WITH MY OWN MATERIAL. UPON LEAVING THE LIBRARY FOR A BUSINESS APPOINTMENT THE DETECTOR WAS TRIGGERED. I WILLINGLY OPENED MY BRIEF CAASE AND ENCOURAGED THE LIBRARIAN TO SEARCH THE CONTENTS. MIXED IN WITH MY DOCUMENTS AND RESEARCH MATERIAL WAS THE LIBRARY RESEARCH MATERIAL. ON 06/16/1986 I WAS CONVICTED OF THE MISDEMEANOR 490.5(A). ON 04/17/1997 THE VERDICT WAS SET ASIDE AND VACATED AND A PLEA OF NOT GUILTY ENTERED. THE COMPLAINT WAS DISMISSED.
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