ROBERT WELLS BRINCKERHOFF is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 15 Shea Drive South, Burlington, VT, 05403.
ROBERT WELLS BRINCKERHOFF has worked at MORGAN STANLEY since March 13, 2015
Disclosure History
ROBERT WELLS BRINCKERHOFF has 9 Disclosure Event(s).
Date: October 16, 2014 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES MISREPRESENTATION FROM DECEMBER 2007 TO JULY 2014.
Date: April 06, 2012 Category: Regulatory Initiated By: MISSOURI DEPARTMENT OF INSURANCE, FINANCIAL INSTITUTIONS AND PROFESSIONAL REGISTRATION Allegations: ALLEGATIONS THAT MR. BRINCKERHOFF FAILED TO CORRECTLY ANSWER ON THE NON-RESIDENT INSURANCE PRODUCER APPLICATION THAT HE WAS THE SUBJECT OF AN ADMINISTRATIVE ACTION IMPOSED BY THE STATE OF NEW YORK. ALLEGATION ACTIVITY PERIOD FROM 4/6/2012 TO 4/6/2012. Resolution: Settled SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $250.00
Date: October 05, 2011 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS. Damage Amount Requested: $100,000.00
Date: March 15, 2010 Category: Regulatory Initiated By: STATE OF NEW YORK, INSURANCE DEPARTMENT Allegations: ALLEGATIONS THAT MR. BRINCKERHOFF FAILED TO REPORT TO THE SUPERINTENDENT WITHIN 30 DAYS OF THE FINAL DISPOSITION OF THE MATTER THAT HIS APPLICATION FOR A PERMANENT INDIVIDUAL INTERMEDIARY AGENT'S INSURANCE LICENSE WAS DENIED FOR A PERIOD OF 31 DAYS BY THE STATE OF WISCONSIN, OFFICE OF THE COMMISSIONER OF INSURANCE, ON OR ABOUT MAY 13, 2008. ALLEGATION ACTIVITY PERIOD FROM 3/15/2010 TO 3/15/2010. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $750.00
Date: May 13, 2008 Category: Regulatory Initiated By: STATE OF WISCONSIN, OFFICE OF THE COMMISSIONER OF INSURANCE Allegations: ALLEGATIONS THAT MR. BRINCKERHOFF FAILED TO CORRECTLY ANSWER ON THE APPLICATION FOR A PERMANENT INDIVIDUAL INTERMEDIARY AGENT'S INSURANCE LICENSE THAT HE WAS THE SUBJECT OF ADMINISTRATIVE ACTIONS IMPOSED BY THE STATES OF VERMONT AND WISCONSIN, AND THAT HE DID NOT RESPOND TO WRITTEN REQUESTS FOR INFORMATION FROM THE COMMISSIONER OF INSURANCE REGARDING THE APPLICATION. ALLEGATION ACTIVITY PERIOD FROM 5/13/2008 TO 6/13/2008. Resolution: APPLICATION WAS DENIED FOR 31 DAYS AND PROCESSED ON JUNE 13, 2008. SanctionDetails: Sanctions: Denial
Date: January 13, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT HIS MERRILL LYNCH FINANCIAL CONSULTANT MISREPRESENTED THE COSTS AND ASSOCIATED WITH TAKING LOANS FROM HIS VARIABLE LIFE INSURANCE POLICY. THE CLIENT WANTS THE VALUES OF HIS LIFE INSURANCE POLICY INCREASED TO REFLECT THE LOWER LOAN COSTS. Damage Amount Requested: $70,000.00 Settlement Amount: $75,330.00 Broker Comment: IN ORDER TO AVOID THE COST AND UNCERTAINTY OF LITIGATION MERRILL LYNCH AGREED TO RESTURCTURE THE CLIENT'S LIFE INSURANCE COVERAGE IN ACCORDANCE WITH HIS UNDERSTANDING OF THE PRODUCT. THE FINANCIAL CONSULTANT WAS NOT ASKED TO CONTRIBUTE TO THE SETTLEMENT.
Date: March 10, 1995 Category: Regulatory Initiated By: STATE OF WISCONSIN, OFFICE OF THE COMMISSIONER OF INSURANCE Allegations: ALLEGATIONS THAT MR. BRINCKERHOFF FAILED TO CORRECTLY ANSWER ON THE APPLICATION FOR A PERMANENT INDIVIDUAL INTERMEDIARY AGENT'S INSURANCE LICENSE THAT HE WAS THE SUBJECT OF AN ADMINISTRATIVE ACTION IMPOSED BY THE STATE OF VERMONT. ALLEGATION ACTIVITY PERIOD FROM 3/10/1995 TO 4/7/1995. Resolution: APPLICATION WAS DENIED FOR 30 DAYS AND PROCESSED ON APRIL 7, 1995 SanctionDetails: Sanctions: Denial
Date: November 01, 1993 Category: Customer Dispute Allegations: CUSTOMER COMPLAINT OF ILLIQUIDITY INRETIREMENT PLAN WHEN NEEDED FOR DISTRIBUTION AS A RESULT OFCLOSING COMPANY. VALUE OF LIMITED PARTNERSHIP IF SOLD INSECONDARY MARKET WOULD HAVE RESULTED IN A LOSS TO THE PLAN.CLAIMED DAMAGES OF $1,000,000. Damage Amount Requested: $1,000,000.00 Settlement Amount: $200,000.00 Broker Comment: MATTER SETTLED FOR $200,000.00.MATTER SETTLED TO AVOID UNCERTAINTY AND COST OFLITIGATION.
Date: June 10, 1991 Category: Regulatory Initiated By: STATE OF VERMONT Allegations: THE STATE OF VERMONT DETERMINED THAT I WASNOT DULY LICENSED TO REPRESENT CROWN LIFE INSURANCE COMPANY ATTHE TIME I MADE A SALE BECAUSE I WAS NOT AN INDIVIDUALAPPOINTED BY CROWN LIFE INSURANCE COMPANY. Resolution: Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $100.00 Sanction Details: CONSENT ORDER & STIPULATION ENTERED INTO WITHSTATE OF VERMONT RESULTING IN A FINE OF $100. MERRILL LYNCH HASPAID THE FINE BECAUSE THEY BELIEVED I WAS NOT RESPONSIBLE FORTHIS ADMINISTRATIVE OVERSIGHT. Broker Comment: DUE TO AN ADMINISTRATIVE TECHNICAL OVERSIGHT ATMERRILL LYNCH LIFE AGENCY INC. AND CROWN LIFE CO., I SOLD ACROWN LIFE INSURANCE POLICY WHILE I WAS NOT APPOINTED AS ANAGENT OF CROWN LIFE INSURANCE CO. THE STIPULATION INCLUDES THEFOLLOWING "THE COMMISSINER HAS DETERMINED THAT ROBERT W.BRINCKERHOFF IS NOT GUILTY OF MAKING A FALSE STATEMENT OROMISSION OR OF BEING DISHONEST, UNFAIR OR UNETHICAL DUE TO THEFACT THAT HE RELIED UPON THE EFFORTS OF HIS EMPLOYER AND OFCROWN LIFE INSURANCE TO OBTAIN SUCH APPOINTMENT."
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