THEO DAVID PENTON is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 4450 OLD CANTON ROAD, SUITE 100, JACKSON, MS, 39211.
THEO DAVID PENTON has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
THEO DAVID PENTON has 1 Disclosure Event(s).
Date: July 06, 1988 Category: Customer Dispute Allegations: MISREPRESENTATION OF INVESTMENT. CLAIM WASFOR $210,441.00 Damage Amount Requested: $210,441.00 Settlement Amount: $11,500.00 Broker Comment: PRUDENTIAL-BACHE SETTLED OUT OF COURT ON THEIRAND MY BEHALF FOR $11,500. I MADE NO CONTRIBUTION TOSETTLEMENT.I SOLD THE CLIENT A LIMITED PARTNERSHIP IN ATHOROUGHBRED BREEDING OPERATION FOR APPROXIMATELY $30,063. THISWAS A RECOMMENDED INVESTMENT. THE CLIENT WAS FINANCIALLYQUALIFIED AND STATED HE UNDERSTOOD THE RISK. WHEN THE PROGRAMWENT UNDER, THE CLIENT, WHO IS A LAWYER, DEMANDED ARBITRATIONFROM ME AND PRUDENTIAL-BACHE.
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