ROGER P LA VOIE is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 1965 PRAY MEADOW ROAD, GLENBROOK, NV, 89413.
ROGER P LA VOIE has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
ROGER P LA VOIE has 3 Disclosure Event(s).
Date: November 13, 1987 Category: Regulatory Initiated By: GEORGIA Allegations: NA Resolution: Decision Sanction Details: CONDITIONAL REGISTRATION-SUBJECT TO REPORT ANY COMPLAINTS OR DISCIPLINARY ACTIONS DIRECTLY TO THE COMMISSIONER FOR A PERIOD OF 1 YEAR. Broker Comment: THIS ORDER WAS NOT RELATED TO A JUDGMENT AGAINSTME BUT WAS IMPOSED TO REQUIRE ME TO NOTIFY THE STATE OF ANYCUSTOMER COMPLAINTS ARISING FROM MY SALES ACTIVITIES ANDPROVIDE NAMES AND ADDRESSES OF ALL GEORGIA RESIDENTS WHO I SOLDSECURITIES DURING THE PAST 3 YEARS IN ADDITION TO AN OUTLINE OFSPECIFIC STEPS TO BE TAKEN BY DEAN WITTER REYNOLDS TO SUPERVISEMY SALES ACTIVITIES.
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.
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