JOSEPH JOHN KENDRICK is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at SAN RAFAEL CORPORATE CENTER, 750 LINDARO STREET, SUITE 300, SAN RAFAEL, CA, 94901.
JOSEPH JOHN KENDRICK has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
JOSEPH JOHN KENDRICK has 2 Disclosure Event(s).
Date: August 26, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED EXCESSIVE AND UNAUTHORIZED TRADING. 2000 - 2002. Damage Amount Requested: $35,000.00 Broker Comment: CLAIM DENIED.
Date: February 23, 1995 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING - UNIT TRUST, MUNI BONDSALLEGED DAMAGES - UNSPECIFIED Settlement Amount: $50,827.00 Broker Comment: BRANCH AGREED TO RESTRUCTURE CLIENTS PORTFOLIOTHERE WERE NO LOSSES ON THE FIRM. CONTACT - [BROKER DEALER CONTACT PERSON] (212) 723-4121ALTHOUGH [THIRD PARTY] ALLEGED UNAUTHORIZED TRADING,THE REAL ISSUES WAS THE CLIENT'S QUESTIONING OF THE TYPE OFINVESTMENT WHICH SHOULD HAVE BEEN MADE IN HER MOTHER'S ESTATEACCOUNT, SPECIFICALLY CONCERN ABOUT POSSIBLE TAX CONSEQUENCESAND THE FUTURE INCOME FROM THESE INVESTMENTS. EVEN THOUGH WEFEEL THAT THE ALLEGATION OF AUTHORIZED TRADING WAS WITHOUTMERIT AND THE TRADES WHICH HAD BEEN MADE WERE PROFITABLE FORTHE CLIENT, THEY WERE UNWOUND AS AN ACCOMMODATION TO HER.
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