LYDIA MICHELLE HOPPS is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 300 ESPLANADE DRIVE, 10TH FLOOR, OXNARD, CA, 93036.
LYDIA MICHELLE HOPPS has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
LYDIA MICHELLE HOPPS has 2 Disclosure Event(s).
Date: January 19, 2012 Category: Customer Dispute Allegations: CLIENT CLAIMS, INTER ALIA, THAT FINANCIAL ADVISOR MADE MISREPRESENTATIONS REGARDING VARIABLE ANNUITIES PURCHASED IN DECEMBER 2007.
Date: December 03, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT, IN OR AFTER JULY 2008, MS. HOPPS GAVE HIM INCORRECT ADVICE ABOUT A TAX ISSUE. Damage Amount Requested: $40,000.00 Broker Comment: I CATEGORICALLY DENY ANY WRONGDOING. IN PARTICULAR, I DID NOT GIVE ANY TAX ADVICE TO THE CUSTOMER. THE CUSTOMER HAS ADMITTED THAT HE CONSULTED HIS TAX PROFESSIONAL BEFORE MAKING THE TRANSACTION AT ISSUE.
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