RYAN MATTHEW DUNLAP

RYAN MATTHEW DUNLAP is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 4449 EASTON WAY, SUITE 300, COLUMBUS, OH, 43219.

RYAN MATTHEW DUNLAP has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

RYAN MATTHEW DUNLAP has 3 Disclosure Event(s).

Date: March 13, 2006
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES FA MADE UNAUTHORIZED TRADES AND FAILED TO FOLLOW INSTRUCTIONS.
Damage Amount Requested: $8,601.00

Date: December 18, 2002
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES NEGLIGENCE IN MANAGING CUSTOMER'S ACCOUNTS.
Damage Amount Requested: $274,755.39
Broker Comment: CLAIM WAS DENIED ON FEBRUARY 4, 2003.NOTHING FURTHER HEARD FROM CLAIMANT.

Date: June 12, 2001
Category: Customer Dispute
Allegations: THAT I GAVE INCORRECT ADVICE IN CONNECTION WITH THE CUSTOMER'S TRANSFER OF ASSETS FROM THE COCA-COLA TRIFT & INVESTMENT PLAN TO ACCOUNTS AT MERRILL LYNCH ON NOVEMBER 13, 2000, WHICH CAUSED $167,000 OF THOSE ASSETS TO BECOME TAXABLE. THE CUSTOMER ALLEGES FRAUD, MISREPRESENTATIONS, NEGLIGENCE, FAILURE TO ACT ON CUSTOMER'S REQUEST, AND VIOLATIONS OF VARIOUS NYSE AND NASD RULES.DAMAGES ARE NOT SPECIFIED BUT INCLUDE TAXES PAID, LOSS OF TAX DEFERMENT, AND LOSS ON SALE OF STOCK TO PAY TAXS.
Settlement Amount: $90,000.00
Broker Comment: MERRILL LYNCH DECIDED TO SETTLE THIS CASE, WITHOUT ANY ADMISSION OF LIABILITY ON THE PART OF MERRILL LYNCH OR THE FINANCIAL ADVISOR, TO AVOID THE COST OF LITIGATING COMPLICATED TAX AND ACCOUNTING ISSUES.

More Information

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