ROBERT EDGAR CUSHMAN

ROBERT EDGAR CUSHMAN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 522 5TH AVENUE, NEW YORK, NY, 10036.

ROBERT EDGAR CUSHMAN has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

ROBERT EDGAR CUSHMAN has 2 Disclosure Event(s).

Date: January 05, 2009
Category: Customer Dispute
Allegations: MISREPRESENTATION, FRAUD, VIOLATION OF NASD AND NYSE RULES, VIOLATION OF THE 1934 SECURITIES EXCHANGE ACT AND RULE 10B-5, UNSUITABILITY, NEGLIGENCE, BREACH OF FIDUCIARY DUTY. 02/04/05-05/31/08
Damage Amount Requested: $527,099.00
Settlement Amount: $150,000.00
Broker Comment: NAMED RESPONDENT WAS DISMISSED FROM THE CASE AND DID NOT CONTRIBUTE TO THE SETTLEMENT WHICH WAS MADE BY THE FIRM FOR REASONS UNRELATED TO NAMED RESPONDENT'S ALLEGED CONDUCT. CLAIMANT HAS AGREED THAT THE CLAIMS SHOULD BE EXPUNGED FROM NAMED RESPONDENT'S RECORD.

Date: January 27, 2004
Category: Customer Dispute
Allegations: TRUSTEE ALLEGES THAT TRUST ASSETS WERE UNSUITABLY INVESTED IN AN INSTITUTIONAL MUTUAL FUND.
Damage Amount Requested: $216,903.00

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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