KATE P SWEENEY is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 120 ALBANY ST 4TH FLOOR, NEW BRUNSWICK, NJ, 08901.
KATE P SWEENEY has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
KATE P SWEENEY has 2 Disclosure Event(s).
Date: November 29, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGED INVESTMENTS WERE UNSUITABLE - 1996 THROUGH 2004.DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
Date: January 19, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGED INVESTMENTS WERE UNSUITABLE - JANUARY 2000 THROUGH MARCH 2002. DAMAGES UNSPECIFIED. Settlement Amount: $9,500.00 Broker Comment: THE CLAIM WAS SETTLED FOR $9,500.
More Information
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