ROBERT ARTHUR MORIN is currently employed as a Broker and/or Investment Adviser at PURSHE KAPLAN STERLING INVESTMENTS located at 662 SUNSET BLVD, JACKSON JUNCTION, WY, 83128.
ROBERT ARTHUR MORIN has worked at PURSHE KAPLAN STERLING INVESTMENTS since October 01, 2010
Disclosure History
ROBERT ARTHUR MORIN has 2 Disclosure Event(s).
Date: May 02, 2000 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE A BREACH OF FIDUCIARY DUTY, NEGLIGENCE, AND MISREPRESENTATIONS AND OMMISSIONS.APRIL 1998 Damage Amount Requested: $28,456.00 Settlement Amount: $17,500.00 Broker Comment: THIS MATTER WAS SETTLED TO AVOID THE COSTS AND UNCERTAINTIES OF LITIGATION.
Date: March 29, 1999 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT THE LEVEL OF STOCKTRADING WAS INCONSISTENT WITH HIS OBJECTIVES AND RISKTOLERANCE. CUSTOMER CLAIMED DAMAGES OF $47,415. THIS OCCURED ATMERRILL LYNCH. Damage Amount Requested: $47,415.00 Broker Comment: MERRILL LYNCH FOUND THAT THE INVESTMENTSRECOMMENDED BY MR. MORIN AND THE LEVEL OF STOCK TRADING WERESUITABLE FOR CUSTOMER'S ACCOUNT BASED ON THIS MODERATE TOAGGRESSIVE RISK TOLERANCE.
More Information
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