STEPHEN M PARLIER is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 227 WEST MONROE STREET, SUITE 3400, CHICAGO, IL, 60606.
STEPHEN M PARLIER has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
STEPHEN M PARLIER has 2 Disclosure Event(s).
Date: March 19, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT ONE PURCHASE MADE IN 1994 WAS UNSUITABLE. Damage Amount Requested: $15,000.00 Broker Comment: OVER THE APPROXIMATELY SEVEN YEARS THAT THE CLIENT HELD THIS INVESTMENT, HE MADE APPROXIMATELY $6,750.00 IN INCOME. THE CLIENT HAD THEOPPORTUNITY TO SELL THIS INVESTMENT AT A PROFIT BUT CHOSE NOT TO.
Date: July 26, 1995 Category: Customer Dispute Allegations: [CUSTOMER] CLAIMED LOSSES OF $56,264.72 AS ARESULT OF ALLEGED UNAUTHORIZED, UNSUITABLE AND EXCESSIVETRADING. Damage Amount Requested: $56,264.72 Settlement Amount: $50,000.00 Broker Comment: THIS MATTER WAS SETTLED FOR $50,000 AS ABUSINESS JUDGEMENT TO AVOID THE COSTS AND UNCERTAINTIES OFARBITRATION.NOT PROVIDED
More Information
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