KATHY LYNN TULLY is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 456 WEST FOOTHILL BLVD, CLAREMONT, CA, 91711.
KATHY LYNN TULLY has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
KATHY LYNN TULLY has 2 Disclosure Event(s).
Date: August 18, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT HIS FINANCIAL ADVISOR FAILED TO FULLY INFORM HIM OF THE POSSIBLE ILLIQUIDITY OF CERTAIN SECURITIES HE PURCHASED. Damage Amount Requested: $1,875,000.00 Settlement Amount: $1,875,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, IN ACCORDANCE WITH FINRA REGULATORY NOTICE 09-12. THE FINANCIAL ADVISOR DID NOT CAUSE, CONTRIBUTE OR HAVE ANY CONTROL WHATSOEVER OVER THESE MARKET EVENTS.
Date: December 16, 2003 Category: Customer Dispute Allegations: COMPLAINT ALLEGES UNSUITABLE RECOMMENDATIONS FOR PURCHASES OF MUTUAL FUNDS IN 1998 AND FAILURE TO RECOMMEND SALES TO STOP LOSSES IN ACCOUNT IN 2000-2003. DAMAGES NOT STATED BUT BELIEVED TO EXCEED $5000.00.
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.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for KATHY LYNN TULLY, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.