L. GREG FULLMER is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 444 SOUTH FLOWER STREET, LOS ANGELES, CA, 90071.
L. GREG FULLMER has worked at MORGAN STANLEY since May 01, 2015
Disclosure History
L. GREG FULLMER has 2 Disclosure Event(s).
Date: April 12, 2010 Category: Customer Dispute Allegations: TIME FRAME JULY 2007CLAIMANT ALLEGED BREACH OF FIDUCIARY DUTY, MISREPRESENTATION AND UNSUITABLE RECOMMENDATION OF A HEDGE FUND. Damage Amount Requested: $1,000,000.00 Settlement Amount: $451,550.00 Broker Comment: THE CLAIMANT IS STILL A CLIENT OF MINE TODAY AND HAS MADE IT VERY CLEAR THAT HER COMPLAINT WAS NOT AGAINST ME NOR MY TEAM. IN OUR MANY DISCUSSIONS REGARDING THIS PRODUCT, THE CLIENT HAS STATED THAT HER ISSUES ARE WITH UBS. I CONTEND THAT THE INFORMATION SHARED WITH THE CLIENT WAS PRECISELY WHAT HAD BEEN SHARED WITH US AND OTHER UBS ADVISORS (E.G SALES LITERATURE, PROSPECTUS AND COMMUNICATIONS WITH THE PRODUCT AREAS OF THE FIRM). I DID NOT DEVIATE FROM THIS INFORMATION AND MESSAGE.
Date: September 11, 2002 Category: Customer Dispute Allegations: CLAIMANT ALLEGES EXCESSIVE TRADING AND FAILURE TO FOLLOW ASSET ALLOCATION GUIDELINES DURING THE PERIOD FROM MAY 1998 TO MAY 2002. THESE ALLEGATIONS ARE VIGOROUSLY, DENIED. Damage Amount Requested: $506,250.00
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