JOHN HADLEY LENTZ

JOHN HADLEY LENTZ is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 2677 N. MAIN ST. - 10TH FLOOR, SANTA ANA, CA, 92705.

JOHN HADLEY LENTZ has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

JOHN HADLEY LENTZ has 4 Disclosure Event(s).

Date: October 10, 2008
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT HER ACCOUNT DID NOT "GO TO CASH" AS SHE INSTRUCTED DUING HER TELEPHONE CONVERSATION WITH RR ON 09/26/08. DAMAGES UNSPECIFIED.
Settlement Amount: $7,000.00

Date: March 11, 2004
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION.
Damage Amount Requested: $15,575.00

Date: July 09, 2002
Category: Customer Dispute
Allegations: CLIENT COMPLAINED OF ADMINISTRATIVE ERRORS (INCOMPLETE TRANSFER OF ASSETS TO MERRILL LYNCH)WHICH OCCURRED PRIOR TO MR. LENTZ BECOMING HIS BROKER.
Damage Amount Requested: $3,476.42 Damages Granted: $2,190.87

Date: January 03, 1995
Category: Customer Dispute
Allegations: UNSUITABILITY, MISREPRESENTATION, UNAUTHORIZED TRADING, NEGLIGENCE, CHURNING, FRAUD, FAILURE TO SUPERVISE AND BREAH OF FIDUCIARY DUTY Damages Granted: $16,400.00
Broker Comment: CLAIMANT AWARDED $16,400, PUNITIVE DAMAGES WEREDENIED. DEAN WITTER AND MR. LENTZ DENY THESE ALLEGATIONSIN THEIR ENTIRETY. MR. LENTZ WAS NOT ASKED TO CONTRIBUTE TO THE AWARD.

More Information

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

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