PAULA M PENN

PAULA M PENN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 207 E. WESTMINSTER AVENUE, SUITE 300, LAKE FOREST, IL, 60045.

PAULA M PENN has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

PAULA M PENN has 1 Disclosure Event(s).

Date: October 19, 2006
Category: Customer Dispute
Allegations: CLIENT ALLEGED THAT MUTUAL FUNDS AND ANNUITY WERE UNSUITABLE - APRIL, 2000. DAMAGES UNSPECIFIED.

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.

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