ROBERT ELLIOTT DUNLAP is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 1000 ELM STREET, MANCHESTER, NH, 03101.
ROBERT ELLIOTT DUNLAP has worked at MORGAN STANLEY since December 12, 2012
Disclosure History
ROBERT ELLIOTT DUNLAP has 7 Disclosure Event(s).
Date: May 21, 1997 Category: Regulatory Initiated By: MASSACHUSETTS SECURITIES DIVISION Allegations: Not Provided Resolution: Stipulation and Consent Sanction Details: ON MAY 21, 1997, ROBERT DUNLAP'S APPLICATION FORREGISTRATION AS AN AGENT OF FIRST ALBANY CORPORATION WASAPPROVED SUBJECT TO CONDITIONS. MR. DUNLAP IS PROHIBITED FROMPERFORMING PRINCIPAL, MANAGERIAL, OR SUPERVISORY DUTIES FOR TWOYEARS AND FROM POSSESSING OR EXERCISING DISCRETION FOR TWOYEARS. FIRST ALBANY IS OBLIGATED TO EXERCISE SPECIALSUPERVISION OVER MR. DUNLAP. Broker Comment: Not Provided
Date: December 13, 1995 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY,FAILURE TOSUPERVISE, MISREPRESENTATION (TYPE OF SECURITIES: CORPORATEBONDS) (EMPLOYING FIRM AT TIME OF EVENT: SMITH BARNEY Damage Amount Requested: $19,500.00 Settlement Amount: $12,000.00 Broker Comment: SETTLED FOR $12,000 FIRM SETTLED DUE TO PRODUCTFAILURE (FIRM RECOMMENDED BOND) BROKER DID NOT CONTRIBUTE TOSETTLEMENT.Not Provided
Date: January 04, 1995 Category: Customer Dispute Allegations: EXCESSIVE TRADING ACTIVITY, OMISSION OFFACTS, UNSUITABILITY Damage Amount Requested: $25,000.00 Settlement Amount: $27,500.00 Broker Comment: THE CASE WAS SETTLED FOR $27,500 TO AVOID THETIME & EXPENSE OF TRYING THE CASE. AFTER REVIEW OF COMPLAINT,BROKER NOT ASKED TO CONTRIBUTE.Not Provided
Date: July 01, 1992 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY, MISREPRESENTATION,UNSUITABILITY ALLEGED COMPENSATOR Y DAMAGE AMOUNT 47, 065.31 Damage Amount Requested: $47,065.30 Settlement Amount: $16,500.00 Broker Comment: SETTLED: $16,500 PAID BY SHEARSON, $0 PAID BYDUNLAPNot Provided
Date: April 18, 1989 Category: Customer Dispute Allegations: CHURNING, EXCESSIVE TRADING ACTIVITY,UNSUITABILITY. ALLEGED DAMAGES $63,000 (TYPE OF INVESTMENT -GROWTH STOCKS) (EMPLOYING FIRM AT TIME OF EVENT: EF HUTTON) Damage Amount Requested: $63,000.00 Damages Granted: $36,500.00 Broker Comment: AWARD/COMPENSATORY DAMAGES $36,500 SHEARSON,($35,000 PLUS $1500 PAYABLE TO THE TREASURER)Not Provided
Date: April 17, 1989 Category: Customer Dispute Allegations: EXCESSIVE TRADING ACTIVITY, MISREPRESENTATIN,UNAUTHORIZED TRANSACTIONS, UNSUITABILITY (EMPLOYING FIRM ATTIME OF EVENT: SHEARSON LEHMAN HUTTON INC. Damage Amount Requested: $76,000.00 Damages Granted: $48,978.00 Broker Comment: AWARD/MONETARY JUDGEMENT TO CUSTOMER $48,978 ANDCOSTS $1375 TO BE PAID BY SHEARSON, AND NOT DUNLAP.Not Provided
Date: October 20, 1988 Category: Customer Dispute Allegations: FORGERY/FALSE WRITINGS (EMPLOYING FIRM ATTIME OF EVENT: SHEARSON LETMAN) Settlement Amount: $11,450.00 Broker Comment: SHEARSON OFFERED TO SETTLE FOR 11,450 AND ASKEDBROKER, THEN WITH SMITH BARNEY TO CONTRIBUTE $5000. TO AVOIDTIME AND EXPENSE OF TRYING THE CASE. SHEARSON INVESTIGATED THEMATTER FULLY AND DETERMINED THAT BROKER DUNNLAP HAD NOPARTICIPATION IN ALLEGED FORGERY. DUNLAP AGREED TO CONTRIBUTEBECAUSE HE HAD MOVED TO NEW FIRM AND WAS WITHOUT CAUSE.Not Provided
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