LOU ATHANAS is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at DECAMP FINCL CENTER, 14 COUNTRY CLUB RD, GILFORD, NH, 03246.
LOU ATHANAS has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
LOU ATHANAS has 2 Disclosure Event(s).
Date: October 08, 2004 Category: Customer Dispute Allegations: CLAIMANT ALLEGES COMMON LAW VIOLATIONS IN CONNECTIN WITH TRANSACTIONS FROM 1998-2000. Damage Amount Requested: $100,000.00 Settlement Amount: $5,000.00 Broker Comment: IN ORDER TO AVOID THE COSTS AND UNCERTAINTIES OF LITIGATION, MORGAN STANLEY DW INC. AGREED TO PAY CLAIMANT $5,000.00 IN FULL AND FINAL SETTLEMENT OF ANY AND ALL CLAIMS ASSERTED BY CLAIMANT IN THIS PROCEEDING.
Date: February 01, 1990 Category: Customer Dispute Allegations: CLIENT COMPLAINED TO THE NASD THAT HERINVESTMENT IN FIRST EXECUTIVE CORP. PREFERRED SHARES WAS NOTCLEARLY EXPLAINED TO HER, AND THAT THE RISK INVOLVED WASMISREPRESENTED. THE FINANCIAL ADVISOR, LOU ATHANAS, SENT [CUSTOMER] A NOTE DESCRIBING THE INVESTMENT. IT WAS ALLEGED THATTHE NOTE MISREPRESENTED THE POTENTIAL LOSSES FOR THEINVESTMENT. Settlement Amount: $15,254.10 Broker Comment: THE FIRM FOR BUSINESS REASONS DETERMINED TOSETTLE WITH THE CLIENT FOR THE AMOUNT OF HER LOSSES -$15,254.10NOT PROVIDED
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