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
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for ROBERT JOHN SEAMAN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.