MARK HOWARD PRINCE is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at THREEFIRST NATIONAL PLAZA, 70 W. MADISON ST. STE 5100, CHICAGO, IL, 60602.
MARK HOWARD PRINCE has worked at MORGAN STANLEY since July 02, 2015
MARK HOWARD PRINCE has 2 Disclosure Event(s).
Date: December 15, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT "IN DIRECT CONTRADICTION TO MY LOW RISK TOLERANCE, [THE FINANCIAL ADVISOR] OFTEN RECOMMENDED AND EXECUTED PURCHASES OF SPECULATIVE, HIGH-RISK STOCKS." TIME PERIOD:1998-2001. Damage Amount Requested: $54,000.00 Settlement Amount: $9,500.00 Broker Comment: "THIS COMPLAINT IS WITHOUT MERIT. BASED ON CLIENT'S OBJECTIVES AND GOALS AT THE TIME, THE INVESTMENTS WERE SUITABLE."
Date: May 05, 1992 Category: Regulatory Initiated By: SECURITIES DIVISION OF DC Allegations: Effected securities transactions in theDistrict of Columbia while unlicensed. Resolution: Decision Sanction Details: Fined Broker Comment: DUE TO VARIOUS MISCOMMUNICATIONS BETWEEN THEPUBLIC SERVICE COMMISSION OF THE DISTRICT OF COLUMBIA, THEPAINEWEBBER BRANCH OFFICE LOCATED IN CHICAGO, ILLINOIS ANDPAINEWEBBER'S REGISTRATION DEPARTMENT, MR. PRINCE BELIEVED THATHIS APPLICATION FOR REGISTRATION WHICH HE HAD SUBMITTED TO THEPUBLIC SERVICE COMMISSION IN JUNE 1991 HAD BECOME EFFECTIVEPRIOR TO HIM EXECUTING THE TRADE FOR THE ACCOUNT IN QUESTIONWHICH TRADES OCCURRED AFTER JUNE OF 1991.
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