JESSE E MCLAIN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 1775 I STREET NW, SUITE 200, WASHINGTON, DC, 20006.
JESSE E MCLAIN has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
JESSE E MCLAIN has 2 Disclosure Event(s).
Date: March 05, 2012 Category: Customer Dispute Allegations: IT IS ALLEGED THAT FINANCIAL ADVISOR PURCHASED DCGN AND FLE STOCK BETWEEN DECEMBER 2006 AND NOVEMBER 2007 WITHOUT CLIENT'S AUTHORIZATION. Damage Amount Requested: $15,198.14
Date: June 16, 1975 Category: Regulatory Initiated By: SECURITIES AND EXCHANGE COMMISSION Resolution: Decision SanctionDetails: Sanctions: Suspension Broker Comment: UNDER FIRM'S (BRONMAN) TRADING PROCEDURESINDIVIDUAL BROKERS MADE MKT'S. PROCEDURE RESULTED IN EXCESSIVEMARKET MARKUPS.
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