JOHN MATHEW PROSPERI

JOHN MATHEW PROSPERI is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 1775 I STREET NW, SUITE 200, WASHINGTON, DC, 20006.

JOHN MATHEW PROSPERI has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

JOHN MATHEW PROSPERI has 2 Disclosure Event(s).

Date: November 01, 2007
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES FINANCIAL ADVISOR DID NOT SELL STOCK WHEN AGREED, RESULTING IN LOSSES WHEN STOCK WAS SOLD IN AUGUST 2007 WHEN SHARE PRICE HAD FALLEN.
Damage Amount Requested: $12,979.80

Date: May 06, 2003
Category: Customer Dispute
Allegations: UNSUITABILITY, OVERCONCENTRATION, AND BREACH OF DUTY REGARDING ACCOUNTS.
Damage Amount Requested: $480,000.00
Settlement Amount: $37,500.00

More Information

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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.

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

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