ROSEMARY G PHILLIPS is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 729 SW FEDERAL HIGHWAY, STUART, FL, 34994.
ROSEMARY G PHILLIPS has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
ROSEMARY G PHILLIPS has 2 Disclosure Event(s).
Date: April 13, 2016 Category: Financial Type: Compromise
Date: April 22, 2015 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT FROM MAY 2014 TO APRIL 2015 THE FA DID NOT NOTIFY HER THAT SHE WAS ENTITLED TO 100% OF THE DECEDENT'S IRA AND MISLEAD HER INTO BELIEVING THAT 40% OF THE DECEDENT'S IRA BELONGED TO THE ESTATE'S REPRESENTATIVE. Damage Amount Requested: $443,068.00 Settlement Amount: $70,000.00 Broker Comment: In order to avoid the costs and uncertainties of litigation, Morgan Stanley Smith Barney agreed to pay Claimant $70,000.00 in full and final settlement of any and all claims asserted by Claimant in this proceeding.
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