LESTER MARK GOODMAN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 2650 QUARRY LAKE DRIVE, SUITE 200, BALTIMORE, MD, 21209.
LESTER MARK GOODMAN has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
LESTER MARK GOODMAN has 1 Disclosure Event(s).
Date: January 12, 1998 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MR. GOODMAN MADE MISLEADINGSTATEMENTS REGARDING THE RETURN OF PRINCIPAL IN HIS PURCHASE OFCOLLATERALIZED MORTGAGE OBLIGATIONS ("CMO). NO DAMAGES ALLEGED,BUT CLIENT REQUESTED TO SELL CMO`S AND RETURN UNAUTHORIZEDPRINCIPAL. Broker Comment: WHEN THE CUSTOMER BECAME CONCERNED WIHT THE AMOUNT OF TIME IT MAY TAKE TO HAVE HIS PRINCIPAL RETURNED, THE INTERST RATE ENVIRONMENT WAS FAVORABLE AND THE CMO'S WERE VALUED AT PAR. AS A RESULT, THE CUSTOMER SOLD HIS POSITION IN THE OPEN MARKET BUT RECEIVED PAR VALUE AS A RETURN OF PRINCIPAL.
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