JAMES JOHN SOLANO is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 20 LINDEN PLACE, 28TH FLOOR, RED BANK, NJ, 07701.
JAMES JOHN SOLANO has worked at MORGAN STANLEY since August 17, 2017
Disclosure History
JAMES JOHN SOLANO has 2 Disclosure Event(s).
Date: June 06, 2007 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT BROKER AMASSED LARGE POSITIONS OF ONE STOCK, POINT THERAPEUTICS, IN HIS JOINT ACCOUNT AND IRA, AND FEELS THAT THE OVERCONCENTRATION WAS NOT SUITABLE FOR HIM GIVEN HIS AGE AND RETIRED STATUS. CLIENT CITES POTENTIAL UNREALIZED LOSSES OF $250,000, BUT DID NOT SPECIFY DAMAGES SOUGHT.
Date: May 31, 2007 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT HER BROKER PURCHASED POINT THERAPUTICS STOCK UNTIL ITS ACCOUNTED FOR ONE THIRD OF HER JOINT ACCOUNT AND IRA, AND CLAIMS THE ACCOUNTS WERE OVERWEIGHTED WITH THE STOCK. CLAIMS TO HAVE SUSTAINED UNREALIZED LOSSES OVER $50,000 BUT HAS NOT SPECIFIED DEMAND FOR RESTITUTION.
More Information
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