JAMES WHELAN WOHLGEMUTH is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 1775 I STREET NW, SUITE 200, WASHINGTON, DC, 20006.
JAMES WHELAN WOHLGEMUTH has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
JAMES WHELAN WOHLGEMUTH has 1 Disclosure Event(s).
Date: April 28, 2008 Category: Customer Dispute Allegations: IN CONNECTION WITH THE RECENT ISSUES IN THE AUCTION RATE SECURITIES MARKET, CLIENT ALLEGES THAT HE WAS NOT SUFFICIENTLY INFORMED AS TO THE LIQUIDITY OF HIS AUCTION RATE SECURITIES INVESTMENTS. Settlement Amount: $500,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE TRANSACTION(S) AT ISSUE TOOK PLACE BEFORE MID-FEBRUARY 2008, WHEN THE ARS MARKET SUFFERED WIDESPREAD AUCTION FAILURES AND ILLIQUIDITY. THE CLIENT ADVISOR DID NOT CAUSE, CONTRIBUTE TO, OR HAVE ANY CONTROL WHATSOEVER OVER THESE MARKET EVENTS. THE FIRM REACHED AGREEMENT WITH CERTAIN OF ITS REGULATORS, PURSUANT TO WHICH IT REPURCHASED ARS FOR THIS FULL PAR VALUE FROM CERTAIN CLIENTS, INCLUDING THE INSTANT CLIENT, WHETHER THEY COMPLAINED OR NOT. THE CLIENT ADVISOR WAS NOT A PARTY TO THAT AGREEMENT, DID NOT MAKE ANY PAYMENT TO THE CLIENT, AND WAS NOT ASKED TO CONTRIBUTE TO THE REPURCHASE AMOUNT. THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, AS REQUIRED BY FINRA REGULATORY NOTICE 09-12.
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