LISA M HANDY

LISA M HANDY is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 20 LINDEN PLACE, RED BANK, NJ, 07701.

LISA M HANDY has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

LISA M HANDY has 1 Disclosure Event(s).

Date: November 14, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE TAX CONSEQUENCES OF SURRENDERING HIS VARIABLE ANNUITY WERE NOT EXPLAINED AND THAT HE REQUESTED THAT HIS ANNUITY BE "TRANSFERRED" RATHER THAN SURRENDERED.
Damage Amount Requested: $6,000.00
Broker Comment: CUSTOMER SURRENDERED HIS POLICY IN WRITING ON 2/3/00. US ALLIANZ ISSUED A CONFIRMATION ON 2/7/00 STATING THE TAXABLE DISTRIBUTION AMOUNT.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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