JOSHUA MICHAEL PIANKO

JOSHUA MICHAEL PIANKO is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 3993 HOWARD HUGHES PARKWAY, SUITE 800, LAS VEGAS, NV, 89169.

JOSHUA MICHAEL PIANKO has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

JOSHUA MICHAEL PIANKO has 2 Disclosure Event(s).

Date: March 21, 2017
Category: Customer Dispute
Allegations: CLIENT ALLEGED, INTER ALIA, THAT FA RECOMMENDED AND MISREPRESENTED OUTSIDE HEDGE FUND. ALLEGED DAMAGES UNSPECIFIED 2011

Date: May 08, 2008
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT FINANCIAL ADVISORS REPRESENTED AUCTION RATE SECURITIES TO BE LIQUID INVESTMENT IN NOVEMBER 2007. DAMAGES UNSPECIFIED.
Settlement Amount: $200,000.00
Broker Comment: MORGAN STANLEY HAS REPORTED THE AMOUNT OF THIS SETTLEMENT IN ACCORDANCE WITH FINRA REGULATORY NOTICE 09-12 WITHOUT WAIVING ITS POSITION THAT THE NOTICE'S REQUIREMENT TO CALCULATE THE AMOUNT OF THIS SETTLEMENT BASED ON THE FULL PAR VALUE OF THE AUCTION RATE SECURITIES REPURCHASED FROM THE CUSTOMER IS IN ERROR.

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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