JAMES O. SANDERS is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 1261 WEST CAUSEWAY APPROACH, MANDEVILLE, LA, 70471.
JAMES O. SANDERS has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
JAMES O. SANDERS has 2 Disclosure Event(s).
Date: November 17, 2008 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THE FA FAILED TO FOLLOW HIS INSTRUCTIONS TO LIQUIDATE HIS PORTFOLIO - 09/24/2008. Damage Amount Requested: $5,669.25 Broker Comment: CLAIM DENIED.
Date: July 18, 2005 Category: Customer Dispute Allegations: CLIENT WROTE THE NASD WHO FORWARDED THE CORRESPONDENCE TO LEGG MASON. CLIENT ALLEGES THAT MR. SANDERS FAILED TO DISCUSS THE RISK OF INVESTMENTS WITH HE AND HIS WIFE IN 1991 AND ALSO ALLEGES THAT MR. SANDERS DID NOT ADVISE HIM ON A TIMELY BASIS TO STOP SYSTEMATIC INVESTMENTS INTO HIS WIFE'S IRA AFTER HER DEATH. DAMAGES NOT SPECIFIED, BUT BELIEVED TO BE IN EXCESS OF $5000.
More Information
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