RONALD CHARLES HART is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 3280 PEACHTREE ROAD, NE, SUITE 1700, ATLANTA, GA, 30305.
RONALD CHARLES HART has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
RONALD CHARLES HART has 2 Disclosure Event(s).
Date: September 02, 2008 Category: Customer Dispute Allegations: COMPLAINT ABOUT AUCTION RATE SECURITIES THAT ALLEGED MISREPRESENTATION. DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
Date: September 06, 1994 Category: Customer Dispute Allegations: CLIENT ALLGED UNSUITABILITY AND INADEQUATEDISCLOSURE. DAMAGES WERE NOT SPECIFIED. Damage Amount Requested: $295,000.00 Settlement Amount: $295,000.00 Broker Comment: SETTLEMENT IN THE AMOUNT OF $295,000. I WAS NOTASKED TO CONTRIBUTE.A PROFESSIONAL INVESTOR CAME TO NY ASKING AN OLDFRIEND FOR COVERAGE AT FIRST BOSTON THE HEAD OF INSTITUTIONALSALES SUGGESTED ME. I SHOWED IDEAS TO [CUSTOMER] FOR 3 MONTHS BEFORE HE BOUGHT THE FIRST TRADE, AFANNIE MAE CANADIAN FX BOND. IT WENT DOWN IN VALUE LATER ANDHE COMPLAINED. CS FIRST BOSTON PAID HIM SOME MONEY AND THEYNEVER SAID I SOLD IT INCORRECTLY OR BLAMED ME AT ALL. I WASNOT ASKED TO, NOR EVER HAVE, CONTRIBUTED TO DAMAGES/SETTLEMENT.THE MATTER HAS LONG SINCE BEEN CLOSED.
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 RONALD CHARLES HART, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.