RAOUL MANCINI is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 855 FRANKLIN AVENUE, GARDEN CITY, NY, 11530.
RAOUL MANCINI has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
RAOUL MANCINI has 2 Disclosure Event(s).
Date: March 16, 1998 Category: Customer Dispute Allegations: MISREPRESENTATION, UNAUTHORIZED TRADING,EXCESSIVE TRADING, SUITABILITY AND MARGIN PROBLEMS. Settlement Amount: $21,000.00 Broker Comment: SMITH BARNEY SETTLED IN THE AMOUNT OF$21,000.00.THE SETTLEMENT WAS MADE TO AVOID THE TIME,EXPENSE AND RISK OF LITIGATION. CONTACT: LINDA ALPART ESQ.9212)810-7688.
Date: March 28, 1996 Category: Customer Dispute Allegations: BREACHES OF FIDUCIARY DUTY & CONTRACT; FRAUD;NEGLIGENCE; UNSUITABILITY; CHURNING; MISREPRESENTATION;UNAUTHORIZED TRADING; RICO VIOLATIONS & VIOLATIONS OF NASDRULES. ALLEGED DAMAGES: $100,000.00 Damage Amount Requested: $100,000.00 Settlement Amount: $14,999.00 Broker Comment: THIS MATTER WAS SETTLED FOR $14,999.00 TO AVOIDTHE TIME, RISK AND EXPENSE OF TRYING THE CASE. THE BROKER WASNOT ASKED TO CONTRIBUTE TO THE SETTLEMENT. ALL CLAIMS AGAINSTTHE BROKER WERE WITHDRAWN.FOR ADDITIONAL INFORMATION, CONTACT LINDA RALPERT, ESQ (212) 816-7559
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