TERRY PHILIP COLE is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 800 EAST 96TH STREET, SUITE 400, SUITE 145 AND 125, INDIANAPOLIS, IN, 46240.
TERRY PHILIP COLE has worked at MORGAN STANLEY since October 12, 2012
TERRY PHILIP COLE has 6 Disclosure Event(s).
Date: March 01, 2017 Category: Judgment / Lien Judgment/Lien Amount: $5,615.53 Judgment/Lien Type: Tax Broker Comment: I have a current Installment Agreement with the IRS. The IRS Taxpayer Advocate is currently working on having this lien removed, as I believe it to be erroneously filed.
Date: November 24, 2008 Category: Judgment / Lien Judgment/Lien Amount: $135,965.76 Judgment/Lien Type: Tax Broker Comment: IRS reopened lien and increased amount owed. The IRS and I reached an agreement in 2010 on a monthly Installment Agreement which I would pay until the statute of limitations expired in 2013. Multiple IRS managers indicated they did not believe I owed the amount claimed. I have made every monthly payment to date and the IRS has unilaterally continued to extend the statute of limitations which they now state is 2018. My legal counsel and the IRS Taxpayer Advocate are working with the IRS to verify the correct statute of limitations, which is believed to be 2016, in order to resolve this matter.
Date: April 29, 2004 Category: Regulatory Initiated By: NASD Allegations: NASD CONDUCT RULE 2110 - RESPONDENT COLE FAILED TO TIMELY UPDATE HIS UNIFORM APPLICATION FOR SECURITIES REGISTRATION OR TRANSFER (FORM U4) TO DISCLOSE MATERIAL INFORMATION. Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails: Sanctions: Suspension Sanction Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, COLE CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, HE IS SUSPENDED FROM ASSOCIATION WITH ANY NASD MEMBER IN ANY CAPCAITY FOR 3 MONTHS. SUSPENSION EFFECTIVE JUNE 7, 2004 THROUGH SEPTEMBER 6, 2004. Broker Comment: I WAS TOLD BY [FINRA OFFICIAL], HEAD OF NASD CHICAGO AT THE TIME, THAT IT WAS JUST A FORMALITY THAT NEEDED TO BE DONE.
Date: July 31, 2002 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Allegations: FAILED TO PAY FINES AND/OR COSTS IN NASD CASE #C8A020015. Resolution: Other SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: NASD REGISTRATION REVOKED ON JULY 31, 2002. COLE'S REVOCATION WAS RESCINDED 2/07/08. HE PAID HIS FINE IN FULL ON 2/7/08.
Date: March 07, 2002 Category: Regulatory
Date: June 20, 1999 Category: Criminal Charges: 1 BATTERY - DROPPED - MISDEMEANOR - A1 RESIDENTIAL ENTRY - DROPPED - FELONY- D Charge Type: FELONY Disposition: MISDEMEANOR - BATTERY - DISMISSEDFELONY - RESIDENTIAL ENTRY - DISMISSED Broker Comment: EX-FIANCES WAS SEEKING REVENGE AND MADE UP CHARGES WHICH WERE LATER DISMISSED
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