STEPHEN LEROY HOWLETT is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at HIGH STREET TOWER, 125 HIGH STREET, BOSTON, MA, 02110.
STEPHEN LEROY HOWLETT has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
STEPHEN LEROY HOWLETT has 2 Disclosure Event(s).
Date: January 23, 2004 Category: Customer Dispute Allegations: CUSTOMER ALLEGES BREACHES OF CONTRACT, BREACHES OF DUTY OF CARE, UNSUITABLE RECOMMENDATIONS AND MISREPRESENTATIONS. Damage Amount Requested: $607,730.00 Settlement Amount: $49,500.00 Broker Comment: THE FIRM, WITHOUT ADMITTING LIABILITY OF ANY NATURE, DECIDED TO SETTLE THIS MATTER TO AVOID THE COST, UNCERTAINTY AND DELAY OF ARBITRATION.
Date: August 13, 1991 Category: Customer Dispute Allegations: LAWSUIT INITIATED BY [CUSTOMER] AGAINSTBANK ONE AND DEAN WITTER AS A RESULT OF THE DISAPPEARANCE OFHER LAWYER, [THIRD PARTY], WAS SETTLED FOR $175,000. SINCEDEAN WITTER WAS REQUIERED TO PAY FOR COUNSEL FOR BOTH ITSELFAND BANK ONE PURSUANT TO AN INDEMNIFICATION AGREEMENT, ADECISION WAS MADE TO SETTLE THE LITIGATION TO AVOID THE HIGHCOST OF DEFENSE. Settlement Amount: $175,000.00 Broker Comment: ACTION WAS SETTELD FOR $175,000NOT PROVIDED
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