JOHN WILSON KELSEY is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 5051 WESTHEIMER 20&21 FLOORS, HOUSTON, TX, 77056.
JOHN WILSON KELSEY has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
JOHN WILSON KELSEY has 3 Disclosure Event(s).
Date: September 12, 1990 Category: Customer Dispute Allegations: (1) VIOLATION OF THE DECEPTIVE TRADEPRACTICES ACT (2) FRAUD (3) BREACH OF FIDUCIARY DUTY (4)VIOLATION OF STATE SECURITIES LAW (5) VIOLATION OF FEDERALSECURITIES LAW (6) NEGLIGENCE (7) BREACH OF CONTRACT/DEMANDEDCOMPENSATORY DAMAGES OF $112,000, ATTORNEY'S FEES, PUNITIVEDAMAGES, AND DOUBLED AND TRIPLED DAMAGES. Damage Amount Requested: $112,000.00 Damages Granted: $53,000.00 Broker Comment: (1) ARBITRATOR DISMISSED CLAIMS #1,2,3,4,5 & 7(2) CLAIMANT AWARDED $53,000 ON CLAIM OF NEGLIGENCE (3) NEITHERPARTY AWARDED ATTORNEY FEES, COSTS, OR EXPENSES (4) COSTS OFARBITRATION ASSESSED TO BOTH PARTIES EQUALLYCLAIMANT PURCHASED VARIOUS BOND FUNDS BYPROSPECTUS FROM APPLICANT. CLAIMANT ESTATE AT INCEPTION WAS$1.4MM; CLAIMANT WITHDREW $974,000 FROM ACCOUNT FOR PERSONALEXPENSES. CLAIMANT ALLEGED THE BOND FUND DECLINED IN VALUE$112,000 LEAVING HER ACCOUNT WORTH $620,000. A SINGLE AAAARBITRATOR AWARDED CLAIMANT $53,000 AND NO ATTORNEY FEES, COSTSOR EXPENSES.
Date: June 26, 1975 Category: Regulatory Initiated By: SECURITIES AND EXCHANGE COMMISSION Resolution: Consent SanctionDetails: Sanctions: Censure Broker Comment: (COPY OF OFFER OF SETTLEMENT AND CONSENT ATTACHED)
Date: November 11, 1974 Category: Civil
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