KENNETH HENRY MALLOY is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 2000 WESTCHESTER AVENUE, 1NC, PURCHASE, NY, 10577.
KENNETH HENRY MALLOY has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
KENNETH HENRY MALLOY has 2 Disclosure Event(s).
Date: October 14, 2005 Category: Customer Dispute Allegations: CLIENTS ALLEGES CHURNING, UNAUTHORIZED AND EXCESSIVE TRADING, UNAUTHORIZED AND EXCESSIVE USE OF MARGIN, FRAUD, BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY. (11/2000-3/2001) Damage Amount Requested: $11,000,000.00 Damages Granted: $750,000.00
Date: June 26, 2001 Category: Customer Dispute Allegations: SELLING AWAY FROM THE FIRM. Damage Amount Requested: $5,200.00 Settlement Amount: $750,000.00
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