SUSAN LEE DEHEN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 9665 WILSHIRE BLVD., SUITE 600, BEVERLY HILLS, CA, 90212.
SUSAN LEE DEHEN has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
SUSAN LEE DEHEN has 2 Disclosure Event(s).
Date: January 28, 2003 Category: Customer Dispute Allegations: CUSTOMER ALLEGES NUMEROUS UNAUTHORIZED TRADES IN STOCK AND BONDS DURING 1999 AND 2000. Damage Amount Requested: $101,000.00
Date: July 20, 2000 Category: Customer Dispute Allegations: TRUSTEE ALLEGES, INTER ALIA, COMMON LAW AND STATUTORY CAUSES OF ACTION WITH REGARD TO STOCK AND BOND TRANSACTIONS BY THE TRUST BETWEEN 1997 AND 2000. Damage Amount Requested: $100,000.00 Settlement Amount: $20,000.00 Broker Comment: BROKER AND FIRM DISPUTE THE COMPLAINT. CLIENT AUTHORIZED THE PURCHASE AND SALE OF THE SECURITIES IN QUESTION AFTER FULL DISCLOSURE OF THEIR CHARACTERISTICS AND RISKS AND AFTER THE CLIENT'S OWN INDEPENDENT RESEARCH.BROKER DID NOT CONTRIBUTE TO THE SETTLEMENT
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