JOHN SCOTT ELLSPERMANN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 2OTH CENTURY TOWER II-STE. 800, 4520 MAIN STREET, KANSAS CITY, MO, 64111.
JOHN SCOTT ELLSPERMANN has worked at MORGAN STANLEY since March 29, 2011
Disclosure History
JOHN SCOTT ELLSPERMANN has 2 Disclosure Event(s).
Date: July 21, 1999 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE FAILURE TO SUPERVISE. Damage Amount Requested: $241,000.00 Settlement Amount: $300,000.00 Broker Comment: I VEHEMENTLY DENY ANY WRONGDOING IN CONNECTION WITH CLAIMANTS' ALLEGATIONS. PAINEWEBBER AND I SUBSEQUENTLY SETTLED CLAIMANTS' ALLEGATIONS WITHOUT ADMITTING ANY WRONGDOING BY ME OR THE FIRM AND FOR THE PURPOSE OF AVOIDING THE COSTS AND TIME ASSOCIATED WITH CONTINUING TO DEFEND CLAIMANTS' CHARGES. I DID NOT CONTRIBUTE MONETARILY TO THE SETTLEMENT.
Date: August 01, 1981 Category: Customer Dispute Allegations: EXCESSIVE TRADING ACTIVITY, UNAUTHORIZEDTRANSACTIONS Settlement Amount: $13,000.00 Broker Comment: SETTLED FOR $13,000.00THE COMPLAINT WAS SETTLED OUT OF COURT AND THENASD DISMISSED THE COMPLAINT AGAINST ME. I WAS NAMED ONLY ASA SUPERVISOR OF A BROKER WHO HAD A COMPLAINT FILED AGAINST HIMINVOLVING EXCESSIVE AND UNAUTHORIZED TRADING. MERRILL LYNCHPAID THE ENTIRE SETTLEMENT AND DETERMINED THAT I PERFORMED MYDUTIES IN COMPLETE COMPLIANCE OF FIRM POLICIES.
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