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
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.
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.
To view the full report for MARK TIMOTHY REHMS, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More