JOHN JOSEPH FRANCIS is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 227 WEST MONROE STREET, SUITE 3400, CHICAGO, IL, 60606.
JOHN JOSEPH FRANCIS has worked at MORGAN STANLEY since June 01, 2009
JOHN JOSEPH FRANCIS has 4 Disclosure Event(s).
Date: December 12, 2008 Category: Customer Dispute Allegations: CLAIMANT ALLEGES, INTER ALIA, THAT FROM MARCH 2008 TO NOVEMBER 2008 THE FINANCIAL ADVISOR MADE MISREPRESENTATIONS CONCERNING AND ENGAGED IN UNSUITABLE INVESTMENTS. Damage Amount Requested: $221,277.00 Settlement Amount: $50,000.00 Broker Comment: THIS MATTER WAS SETTLED FOR BUSINESS PURPOSES, WITH NO ADMISSION OF LIABILITY BY THE FIRM OR BROKER. BROKER DID NOT CONTRIBUTE TO SETTLEMENT.
Date: August 13, 2007 Category: Customer Dispute Allegations: CLIENT ALLEGES FA TOLD HIM THAT THE INVESTMENTS WOULD PRODUCE AN 8-10% RETURN - 7/2007.DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
Date: March 01, 2001 Category: Customer Dispute Allegations: THE CLIENT ALLEGED MISREPRESENTATION WITH REGARD TO THE MANNER IN WHICH HIS FUNDS WOULD BE INVESTED - CLIENT STATES HE WAS TOLD THAT, DUE TO HIS RISK ADVERSITY, AND CONSERVATIVE EXPECTATIONS, HIS INVESTMENTS WOULD BE PLACED IN CONSERVATIVE "MODERATE RISK" INVESTMENTS. MARCH 2000 THROUGH MARCH 2001. Damage Amount Requested: $12,000.00 Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
Date: June 29, 1998 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY, NEGLIGENCE, FRAUD,UNDUE INFLUENCE, ATROCIOUS INTERFERENCE REGARDING THE MATERIALREVISION AND ALTERATION OF [CUSTOMER'S] LONG-ESTABLISHEDTESTAMENTARY PLAN. ALLEGED DAMAGES: UNSPECIFIED Settlement Amount: $30,000.00 Broker Comment: THE CLAIMS WERE SETTLED FOR $30,000 WITH NOADMISSION OF LIABILITY OR WRONGDOING.CONTACT: [BROKER DEALER CONTACT PERSON] (212) 816-8006) ATSMITH BARNEY INC.
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