LLOYD BARRY COHEN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 10960 WILSHIRE BLVD., SUITE 2000, LOS ANGELES, CA, 90024.
LLOYD BARRY COHEN has worked at MORGAN STANLEY since December 09, 2010
Disclosure History
LLOYD BARRY COHEN has 2 Disclosure Event(s).
Date: February 19, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE TRADES IN HER ACCOUNTWERE UNAUTHORIZED (STOCK AND UNIT TRUSTS). NO ALLEGED DAMAGES. SMITH BARNEY. Broker Comment: THE CLIENT ABANDONED THIS CLAIM.NOT PROVIDED
Date: October 03, 1995 Category: Customer Dispute Allegations: SUITABILITY, CHURNING, MISREPRESENTATION Damage Amount Requested: $52,761.00 Settlement Amount: $45,000.00 Broker Comment: SETTLEMENT AMOUNT $45,000 - JOINTLY & SEVERALLY. MR. COHEN IS CONTRIBUTING $5,000.MRS. KAHN (CLIENT) WAS A FRIEND OF MS PECK - WHOALSO TRANSFERED ACCOUNT TO ANOTHER FIRM AND SUED FOR LOSSES INHER SPECTRAVISION BONDS (40,000) PER VALUE, SOLD HER BONDS AT$.40 ON THE DOLLAR. UNLIKE MS. PECK, WHO REPRESENTED HERSELF,AND AFTER LOSING, PROBABLY ADVISED MRS. KAHN TO HIRE ANDATTORNEY. WHEN MRS. KAHN'S ATTORNEY CONTACTED SMITH BARNEY TOFILE SUIT, SMITH BARNEY DECIDED TO SETTLE THE CASE. IBASICALLY HAD NO CHOICE BUT TO SIGN THE AGREEMENT. HOWEVER, IDID NOT FEEL THAT I WAS PROPERLY ADVISED BY MY BRANCH MANAGEROF ALL MY RIGHTS AND OPTIONS.
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