JOHN MICHAEL EGAN

JOHN MICHAEL EGAN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 111 NORTH WASHINGTON AVE, SUITE 201, SCRANTON, PA, 18503.

JOHN MICHAEL EGAN has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

JOHN MICHAEL EGAN has 2 Disclosure Event(s).

Date: December 21, 2010
Category: Customer Dispute
Allegations: IT IS CLAIMED, INTER ALIA, THAT FINANCIAL ADVISOR INVESTED IN ALLEGEDLY UNSUITABLE MUTUAL FUNDS. TIME PERIOD BETWEEN 2000 AND 2009.
Damage Amount Requested: $100,000.00
Broker Comment: MORGAN STANLEY FOUND THIS COMPLAINT TO BE WITHOUT MERIT. THE INVESTMENTS WERE IN LINE WITH THE CLIENTS' OBJECTIVES, AND THE CLIENTS WAITED OVER A DECADE TO BRING A COMPLAINT, WITHOUT PROVIDING ANY REASON FOR THEIR DELAY.

Date: December 16, 2008
Category: Customer Dispute
Allegations: CUSTOMER CLAIMED THAT SECURITIES IN HIS ACCOUNT WERE SOLD WITHOUT HIS PERMISSION. ALLEGED COMPENSATORY DAMAGE AMOUNT UNSPECIFIED.
Settlement Amount: $93,019.00

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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