MARK TIMOTHY REHMS is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 800 NEWPORT CENTER DRIVE, SUITE 500, NEWPORT BEACH, CA, 92660.
MARK TIMOTHY REHMS has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
MARK TIMOTHY REHMS has 2 Disclosure Event(s).
Date: February 28, 1990 Category: Employment Separation After Allegations Firm Name: PAINE WEBBER, INC Termination Type: Discharged Allegations: UNAUTHORIZED TRADES NO LOSS OR COMPLAINT BY CLIENT FIRM LOSS OF $5230 IS ALL COMMISSIONS Broker Comment: TERMINATION WITHOUT ANY PENALTIES.CUSTOMER RODNEY PIERRE OPENED AN ACCOUNT ON5/23/89 AND SOLD TWO STOCKS. IN JANUARY 1990 MR. PIERRE CALLEDAND MADE AN APPOINTMENT AND ORDERED PURCHASE OF THREE STOCKS.MR. PIERRE DID NOT SHOW UP FOR HIS APPOINTMENT OR PAY FOR HISPURCHASES. IT WAS LEARNED THAT MR. PIERRE HAD MOVED FROM HIS MAY1989 ADDRESS AND COULD NOT BE REACHED. ALL TRADES WERE COVEREDWITHOUT ANY LOSS OF PRINCIPAL. ** SEE INCIDENT #2.
Date: October 25, 1989 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING, NEGLIGENCE, ALLEGEDDAMAGES $212,922.00 COMPENSATORY $3,000,000.00 PUNITIVE Damage Amount Requested: $212,892.00 Damages Granted: $28,640.00 Broker Comment: AWARD RENDERED SHEARSON LEHMAN BROTHERS, INC.MOST PAY $136, 100.00 TO THE [CUSTOMERS], $28,640 .00 TO [CUSTOMER]. MARK REHMS MUST PAY $82,870.00 TO SHEARSON.ARBITRATION PANEL AWARDED IN FAVOR OF THECUSTOMER. THE PANEL DISMISSED ALL FELONY/MISDEAMEANOR,SUSPENSIONS OR RESTRICTIONS AGAINST REHMS. RHEMS HAS ENTEREDINTO A SETTLEMENT WITH SHEARSON LEHMAN BROTHERS, INC.
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