LUIS MANUEL GUTIERREZ

LUIS MANUEL GUTIERREZ is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 5051 WESTHEIMER 20&21 FLOORS, HOUSTON, TX, 77056.

LUIS MANUEL GUTIERREZ has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

LUIS MANUEL GUTIERREZ has 1 Disclosure Event(s).

Date: August 22, 2014
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES, INTER ALIA, UNSUITABILITY WITH RESPECT TO THE INVESTMENTS MADE IN ACCOUNT - FEBRUARY 2011 TO OCTOBER 2011.
Damage Amount Requested: $302,000.00
Settlement Amount: $99,500.00
Broker Comment: The Firm settled the matter, without admission of liability, to avoid the costs and uncertainties of litigation.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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