KIYOSHI KIMURA

KIYOSHI KIMURA is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 101 CALIFORNIA ST., SAN FRANCISCO, CA, 94111.

KIYOSHI KIMURA has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

KIYOSHI KIMURA has 1 Disclosure Event(s).

Date: March 31, 1998
Category: Customer Dispute
Allegations: SMITH BARNEY CLIENT ALLEGES INACCURATE ANDINNAPPROPRIATE ADVICE REGARDING THE SALE OF STOCK. CLIENTALLEGES THAT, AS A RESULT OF SUCH ADVICE, HE INCCURRED LOSSESOF $55,498 WHICH CANNOT BE WRITTEN OFF FOR TAX PURPOSES.
Damage Amount Requested: $55,498.00
Broker Comment: THE CLIENT'S CLAIM WAS DENIED THERE WERE NOOPTIONS OR COMMODITIES INVOLVED. SMITH BARNEY COMPLIANCE DEPT.NOT PROVIDED

More Information

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