JOHN A PETTICA

JOHN A PETTICA is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 340 BROADWAY, 2ND FLOOR, SARATOGA SPRINGS, NY, 12866.

JOHN A PETTICA has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

JOHN A PETTICA has 1 Disclosure Event(s).

Date: July 27, 2004
Category: Customer Dispute
Allegations: THROUGH ATTORNEY, CLIENTS ALLEGE THAT THE INVESTMENTS FOR THE ACC PLANS WERE INCONSISTENT WITH THE INVESTMENT POLICY AND GUIDELINES AND THAT HE MISREPRESENTED THE AMOUNT OF COMPENSATION THAT WAS COVERED UNDER THE POLICY.
Damage Amount Requested: $1,000,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

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