STEPHEN DEWITT DAUGHDRILL is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at RSA BATTLE HOUSE TOWER, 11 NORTH WATER ST., SUITE 16290, MOBILE, AL, 36602.
STEPHEN DEWITT DAUGHDRILL has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
STEPHEN DEWITT DAUGHDRILL has 4 Disclosure Event(s).
Date: May 15, 2015 Category: Customer Dispute Allegations: CLIENT VERBALLY ALLEGED, INTER ALIA, THAT INVESTMENTS PURCHASED IN HIS ACCOUNT WERE UNSUITABLE - JUNE 2012 TO NOVEMBER 2014. Settlement Amount: $15,000.00
Date: April 30, 2001 Category: Customer Dispute Allegations: FRAUD, DECEIT, UNSUITABLE AND EXCESSIVE TRADING, BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND VIOLATION OF ALABAMA SECURITIES ACT. 05/01/1999 Damage Amount Requested: $350,000.00 Settlement Amount: $225,000.00 Broker Comment: THE MATTER WAS SETTLED WITHOUT AN ADMISSION OR DENIAL IN REGARDS TO ALLEGATIONS IN ITEM #5.
Date: November 29, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES POOR PERFORMANCE AND IS CRITICAL OF THE FIRM'S RESEARCH DEPARTMENT Damage Amount Requested: $5,000.00 Broker Comment: JOHN DOUGHERTY(212) 783-7822
Date: September 07, 1995 Category: Customer Dispute Allegations: MISREPRESENTATION, SUITABILITY. ALLEGED DAMAGES - 36,200.00 Damage Amount Requested: $36,020.00 Settlement Amount: $25,000.00 Broker Comment: CASE SETTLED FOR BUSINESS REASONS IN THE AMOUNTOF $25,000.00 CONTACT: MARY E. REISERT, ESQ. #212-816-7295.SEE COMMENTS ON U-4 DATED 9/26/95
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