STEPHEN KEPCHAR

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

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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