STEPHEN KEPCHAR is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 300 GRANITE RUN DRIVE, SUITE 300, LANCASTER, PA, 17601.
STEPHEN KEPCHAR has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
STEPHEN KEPCHAR has 4 Disclosure Event(s).
Date: January 05, 2017 Category: Customer Dispute Allegations: Claimants allege, inter alia, that from 1991 to 2016 the FA made unsuitable investments. Damage Amount Requested: $300,000.00 Settlement Amount: $13,000.00 Broker Comment: This matter was settled at a small fraction of the alleged damages as a business decision by the Firm to avoid the cost and uncertainty of litigation. The advisor denies any allegation of wrongdoing and was not asked to contribute to the settlement.
Date: January 08, 2007 Category: Customer Dispute Allegations: CLIENT ALLEGES, INTER ALIA, UNAUTHORIZED TRANSACTIONS IN HIS ACCOUNT BY HIS FINANCIAL ADVISOR - NO DATES SPECIFIED. UNSPECIFIED - ESTIMATED TO BE OVER $5,000.
Date: November 17, 2005 Category: Customer Dispute Allegations: CUSTOMER CLAIMED TRANSACTIONS WERE NOT EXECUTED IN A TIMELY FASHION. Damage Amount Requested: $18,849.22 Settlement Amount: $18,849.22 Broker Comment: ORIGINAL COMPLAINT WAS NOT CONSTRUED TO RAISE A SALES PRACTICE ISSUE BUT LATER SETTLED FOR GREATER THAN 10K.
Date: January 05, 1998 Category: Customer Dispute Allegations: ALLEGED CHURNING AND UNSUITABILITY SEEKINGDAMAGES IN EXCESS OF $266,000. EVENTS OCCURRED WHILE AE AT DEANWITTER. Settlement Amount: $175,000.00 Broker Comment: DEAN WITTER TO PAY $175,000.Not Provided
More Information
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