KEVIN ROBERT LYNCH is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 440 SOUTH LASALLE STREET, 38TH FLOOR, PWM, CHICAGO, IL, 60605.
KEVIN ROBERT LYNCH has worked at MORGAN STANLEY since June 01, 2009
KEVIN ROBERT LYNCH has 4 Disclosure Event(s).
Date: November 17, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE CLIENT ADVISOR FAILED TO FOLLOW INSTRUCTIONS TO LIQUIDATE CERTAIN POSITIONS IN AUCTION RATE SECURITIES. ACTIVITY PERIOD IS FROM DECEMBER 6, 2007 TO FEBRUARY 13, 2008. Damage Amount Requested: $6,000,000.00 Settlement Amount: $6,000,000.00 Broker Comment: THIS COMPLAINT AROSE FROM THE UNFORESEEN, WIDESPREAD FAILURE OF THE AUCTIONS IN THE STUDENT LOAN AUCTION RATE SECURITIES MARKET. THE SETTLEMENT REFLECTS THE BANK'S DECISION TO BUY BACK THE SECURITIES FROM THE CLIENT AT PAR.
Date: September 16, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT AUCTION RATE SECURITIES INVESTMENTS WERE NOT IN COMPLIANCE WITH ITS INVESTMENT POLICY.
Date: August 18, 2008 Category: Customer Dispute Allegations: IN CONNECTION WITH THE RECENT LIQUIDITY ISSUES IN THE AUCTION RATE SECURITIES MARKET, CLIENT ALLEGES THAT IT WAS NOT SUFFICIENTLY INFORMED AS TO THE LIQUIDITY OF AUCTION RATE SECURITIES INVESTMENTS AND THAT THESE INVESTMENTS WERE INCONSISTENT WITH ITS INVESTMENT POLICY.
Date: February 28, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES FAILURE TO FOLLOW INVESTMENT POLICY DUE TO INVESTMENT IN AN AUCTION RATE SECURITIES.
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