NEIL ALAN FOX

NEIL ALAN FOX is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 595 SOUTH FEDERAL HIGHWAY, BOCA RATON, FL, 33432.

NEIL ALAN FOX has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

NEIL ALAN FOX has 3 Disclosure Event(s).

Date: March 23, 2016
Category: Customer Dispute
Allegations: Client's father alleges her managed account was too heavily concentrated in the energy sector - February 2015 - December 2015. Damages unspecified.

Date: June 08, 1996
Category: Customer Dispute
Allegations: IMPROPER ADVICE ON HOLDINGS. ALLEGED DAMAGES$71,189
Damage Amount Requested: $71,189.00
Settlement Amount: $45,000.00
Broker Comment: THIS MATTER SETTLED FOR $45,000. MR. FOX WAS NOTASKED TO CONTRIBUTE TO THE SETTLEMENT.FOR MORE INFORMATION PLEASE CONTACT [THIRD PARTY] AT 212-816-7279.

Date: June 27, 1984
Category: Regulatory
Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Allegations: SEC ADMIN RELEASE 34-21105, JUNE 27, 1984: THE COMMISSION DEEMS IT APPROPRIATE IN THE PUBLIC INTEREST THAT PROCEEDINGS BE INSTITUTED PURSUANT TO SECTIONS15(B) AND 19(H) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AGAINST NEIL A. FOX ("FOX"), A PERSONASSOCIATED WITH A BROKER-DEALER REGISTERED WITH THE COMMISSION PURSUANT TO SECTION 15(B) OF THE EXCHANGE ACT, TODETERMINE WHETHER FOX WILLFULLY AIDED AND ABETTED VIOLATIONS OF SECTION 17(A) OF THE SECURITIES ACT OF 1933 ("SECURITIES ACT") AND SECTION 10(B) OF THE EXCHANGE ACT AND RULE 10B-5 THEREUNDER, IN CONNECTION WITH TRANSACTIONS IN A SECURITY. FROM ON OR ABOUT JANUARY 12, 1981, THROUGH MARCH 31, 1981, FOX, DIRECTLY AND INDIRECTLY, WILLFULLY AIDED AND ABETTED VIOLATIONS OF SECTION 17(A) OF THE SECURITIES ACT AND SECTION 10(B) OF THE EXCHANGE ACT AND RULE 10B-5 THEREUNDER, IN THAT HE, IN THE OFFER, PURCHASE AND SALE OF CERTAIN SECURITIES, NAMELY, A COMMON STOCK BY THE USE OF THE MEANS AND INSTRUMENTS OF TRANSPORTATION AND COMMUNICATION IN INTERSTATE COMMERCE AND BY USE OF THE MEANS AND INSTRUMENTALITIES OF INTERSTATE COMMERCE, DIRECTLY AND INDIRECTLY, PROVIDED SUBSTANTIAL ASSISTANCE TO OTHERS, WHO EMPLOYED DEVICES, SCHEMES AND ARTIFICES TODEFRAUD, OBTAINED MONEY AND PROPERTY BY MEANS OF UNTRUE STATEMENTS OF MATERIAL FACTS AND OMISSIONS TO STATE MATERIALFACTS NECESSARY IN ORDER TO MAKE THE STATEMENTS MADE, IN LIGHT OF THE CIRCUMSTANCES UNDER WHICH THEY WERE MADE, NOTMISLEADING, AND ENGAGED IN TRANSACTIONS, PRACTICES AND A COURSE OF BUSINESS WHICH OPERATED AS A FRAUD AND DECEIT UPONTHE PURCHASERS AND PROSPECTIVE PURCHASERS OF SUCH SECURITIES. AS PART OF AND IN FURTHERANCE OF THE CONDUCT SET FORTH ABOVE, FOX, WITH KNOWLEDGE OF THE VIOLATIONS BY OTHERS, OR IN RECKLESS DISREGARD OF FACTS WHICH INDICATED THAT OTHERS WERE ENGAGED IN SUCH VIOLATIONS AMONG OTHER THINGS: WITHHELD FACTS CONCERNING THESE MATTERS FROM HIS SUPERVISORS.
Resolution: Order SanctionDetails:
Sanctions: Censure Sanction Details: IN ANTICIPATION OF THESE PROCEEDINGS, FOX SUBMITTED AN OFFER OF SETTLEMENT WHICH THE COMMISSION HAS DETERMINEDTO ACCEPT. WITHOUT ADMITTING OR DENYING THE FACTS OR FINDINGS SET FORTH HEREIN, FOX CONSENTS TO THE FINDINGS CONTAINED HEREIN AND SANCTIONS IMPOSED BY THIS ORDER. FOX, DIRECTLY AND INDIRECTLY, WILLFULLY AIDED AND ABETTED VIOLATIONS OF SECTION 17(A) OF THE SECURITIES ACT AND SECTION 10(B) OF THE EXCHANGE ACT AND RULE 10B-5THEREUNDER. IT IS ORDERED THAT NEIL A. FOX BE AND HEREBY IS CENSURED.
Broker Comment: IN JUNE 1984, NEIL A. FOX WAS CENSUREDBY THE SECURITIES AND EXCHANGE COMMISSION (SEC) FOR ACCEPTINGDISCRETIONARY ORDERS WITHOUT WRITTNE AUTHORIZATION ANDACCEPTING UNKNOWINGLY FROM A CORPORATE ISSUER.

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.

To view the full report for NEIL ALAN FOX, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.