ROBERT BRIAN WEISE is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 2150 HIGHWAY 35, 2ND FLOOR, SUITE 200, SEA GIRT, NJ, 08750.
ROBERT BRIAN WEISE has worked at MORGAN STANLEY since August 11, 2016
Disclosure History
ROBERT BRIAN WEISE has 2 Disclosure Event(s).
Date: January 15, 2009 Category: Customer Dispute Allegations: NEW YORK STATE RESIDENT STATED IN WRITING HER FINANCIAL ADVISOR MADE CHANGES TO HER INVESTMENT PORTFOLIO IN HER ABSENCE WITHOUT CONTACTING HER VIA TELEPHONE OR IN WRITING. CUSTOMER FURTHER STATED HER FINANCIAL ADVISOR USED MARGIN WITHOUT HER KNOWLEDGE OR UNDERSTANDING. CUSTOMER STATED HER LOSSES ARE $42,000. (09/01/2008 - 11/01/2008) Damage Amount Requested: $42,000.00 Broker Comment: THE CUSTOMER WORKED WITH THE FA FOR APPROXIMATELY TEN YEARS, AND CUSTOMER USED MARGIN WHILE AS A CUSTOMER SALOMON SMITH BARNEY. THE SIGNED ACCOUNT AGREEMENT INDICATES CUSTOMER ACCEPTED MARGIN. THE MARGIN DEBT ORIGINATED IN 9/07, AND CUSTOMER DID NOT RAISE MARGIN CONCERN TO FIRM'S ATTENTION UNTIL 12/08. THE ACCOUNT DECLINED IN VALUE DURING 10/08, AND THE SALES IN THE ACCOUNT WERE CAUSED MARGIN BY THE MARGIN CALL. THUS, THE FA DID NOT ENGAGE IN UNAUTHORIZED TRADING, AND THE COMPLAINT IS DENIED.
Date: February 13, 2004 Category: Customer Dispute Allegations: THE CLIENT VERBALLY ALLEGED UNAUTHORIZED TRADING -2000 THROUGH 2003.DAMAGES UNSPECIFIED. Settlement Amount: $63,280.11 Broker Comment: "ALTHOUGH WE BELIEVE THE UNAUTHORIZED TRADING ALLEGATION HAS NO MERIT, THE CLAIM WAS SETTLED FOR $63,280.11."
More Information
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