LEEROY JOESEPH KLOEZEMAN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 245 LYTTON AVENUE, SUITE 200, PALO ALTO, CA, 94301.
LEEROY JOESEPH KLOEZEMAN has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
LEEROY JOESEPH KLOEZEMAN has 2 Disclosure Event(s).
Date: January 28, 2013 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABILITY WITH RESPECT TO INVESTMENTS - 5/23/2007-6/28/2012.
Date: December 06, 1986 Category: Regulatory Initiated By: CALIFORNIA Allegations: FIRM HAS CEASED TO DO BUSINESS Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: KLOEZEMAN'S BROKER DEALER CERTIFICATE WAS SUMMARILY REVOKED PURSUANT TO SECTIONS 25242(B)OF THE CALIFORNIA CORPORATIONS CODE; FIRM HAS CEASED TO DO BUSINESS. Broker Comment: AFTER LEAVING AS A MARKET MAKER ON THE PSE, I WASAN ACCT EXEC. AT TWO BROKERAGE FIRMS. AFTER RESIGNING FROM DWR,I FOUND MY FILE THAN HAD AN OLD ITEM ON IT FROM THE PSE. I HADRESIGNED MY MEMBERSHIP, BUT THE STATE OF CALIF. WAS NOT AWAREOF THAT FACT. I WAS SENT A LETTER BY THEM ASKING ABOUT MYSTATUS, BUT NEVER RECEIVED IT SINCE I HAD MOVED. THEY THENREVOKED MY STATUS AS A MARKET MAKER, WHICH REMAINS ON MY RECORDTHAT I AM INACTIVE ONLY BY THE NASD.
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