JAMES K NICHOLAS is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 8383 PRESTON CENTER PLAZA DRIVE, SUITE 400, DALLAS, TX, 75225.
JAMES K NICHOLAS has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
JAMES K NICHOLAS has 2 Disclosure Event(s).
Date: May 22, 2009 Category: Customer Dispute Allegations: FINANCIAL ADVISOR HAS ALLEGEDLY MISMANAGED ACCOUNT SINCE ABOUT SEPTEMBER 2007. Damage Amount Requested: $50,000.00
Date: August 11, 2000 Category: Customer Dispute Allegations: CUSTOMER ALLEGES FINANCIAL CONSULTANT INVESTED IN MUTUAL FUNDS "WITHOUT PERMISSION." Damage Amount Requested: $200,000.00 Broker Comment: MERRILL LYNCH DENIES THE ALLEGATION BROUGHT FORTH IN THIS COMPLAINT.
More Information
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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