THOMAS PATRICK COX

THOMAS PATRICK COX is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at MACK CENTRE III - NORTH TOWER 5TH FLOOR, 140 EAST RIDGEWOOD AVENUE, PARAMUS, NJ, 07652.

THOMAS PATRICK COX has worked at MORGAN STANLEY since October 07, 2015

Disclosure History

THOMAS PATRICK COX has 3 Disclosure Event(s).

Date: September 16, 2003
Category: Customer Dispute
Allegations: CLIENT ALLEGED MISREPRESENTATION WITH RESPECT TO STOCK PURCHASE - JUNE 2001.DAMAGES UNSPECIFIED.
Broker Comment: THE CLAIM WAS DENIED.

Date: May 06, 2003
Category: Customer Dispute
Allegations: ALLEGING THAT FC ACCEPTED AN ORDER TO EXCHANGE A MUTUAL FUND FROM A PERSON AFFILIATED WITH THE CHURCH WHO DID NOT HAVE AUTHORITY TO PLACE THE ORDER AND REQUESTED THAT THE EXCHANGE BE REVERSED.
Settlement Amount: $21,093.58
Broker Comment: [THIRD PARTY] IS HANDLING THIS MATTER.

Date: October 14, 1994
Category: Customer Dispute
Allegations: SUITABILITY
Damage Amount Requested: $70,000.00 Damages Granted: $20,270.00
Broker Comment: AFTER A HEARING BEFORE A PANEL AT THE NYSE, THE ARBITRATORS AWARDED [CUSTOMER] $20,270 PLUS INTEREST.

More Information

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

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