ROBERT JOHN SEAMAN

ROBERT JOHN SEAMAN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 4455 DRESSLER RD. NW, SUITE 202, CANTON, OH, 44718.

ROBERT JOHN SEAMAN has worked at MORGAN STANLEY since July 02, 2010

Disclosure History

ROBERT JOHN SEAMAN has 2 Disclosure Event(s).

Date: May 28, 2003
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED THAT UNSUITABLE PURCHASES WERE MADE FOR CUSTOMER'S ACCOUNT.
Damage Amount Requested: $38,491.50

Date: September 13, 1994
Category: Customer Dispute
Allegations: ALLEGED THAT A TAX FEE PRODUCT IS UNSUITABLEFOR AN ESTATE AND CUSTOMER UNAWARE OF FLUCTUATION.
Damage Amount Requested: $18,000.00
Settlement Amount: $18,000.00
Broker Comment: MUTUAL GENERAL RELEASE WAS SIGNED BY ALLPOTENTIAL DEFENDANTS. MOSI PAID $18,000 TO TH CHURCHBENEFICIARY. REP UNAWARE THAT IN OHIO NO MORE THAN 60% OF ANESTATE CAN BE INVESTED IN MUTUAL FUNDSI HAD A THREE YEAR RELATIONSHIP WITH [ATTORNEY]IN WHICH WE WERE IN MUTUAL FUNDS. ON A QUARTERLY BASIS DURINGTHAT 3 YR. PERIOD. I USED TO REVIEW THEIR ACCT. WITH THEM. THEYWERE VERY AWARE OF HOW MUTUAL FUNDS WORK AND HOW THEY FLUCTUATEWITH THE MARKET. ORIGINALLY, [ATTORNEY] CALL ME TO INVEST THEESTATE AND SAID HE WANTED TO INVEST IN THE SAME TYPE OFINVESTMENTS THAT WE HAD THE OTHER ACCTS. IN. I ORIGINALLYSUGGESTED A # OF DIFFERENT TYPES OF FUNDS (DIVERSIFACTION) BUTHE DECIDED TO STAY IN BOND FDS. TO AT LEAST TRY TO KEEP HIM ALITTLE MORE DIVERSIFIED, I SUGGESTED A OHIO TAX FREE FUND,BECAUSE ALOT OF THE ANALYST WERE LOOKING FOR THAT AREA OF THEMKT. TO DO VERY WELL. I WAS UNDER THE ASSUMPTION THAT THESE $WOULD BE INVESTED FOR 3 YRS.

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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