THOMAS SHAW LEVIN

THOMAS SHAW LEVIN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 2398 EAST CAMELBACK ROAD, SUITE 800, PHOENIX, AZ, 85016.

THOMAS SHAW LEVIN has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

THOMAS SHAW LEVIN has 2 Disclosure Event(s).

Date: December 24, 2009
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES, INTER ALIA, THAT FROM 2007 THROUGH MID-2009 THE FINANCIAL ADVISOR MADE EXCESSIVE AND UNAUTHORIZED TRADES IN THE CLAIMANT'S ACCOUNTS THAT WERE UNSUITABLE FOR HER RISK TOLERANCE.
Damage Amount Requested: $200,000.00
Settlement Amount: $87,500.00
Broker Comment: FA, THOMAS LEVIN WAS SEPARATELY Dismissed AND SB SETTLED FOR BUSINESS PURPOSES ONLY AND TO AVOID COSTS OF LITIGATION.

Date: February 13, 1993
Category: Customer Dispute
Allegations: EXCESSIVE TRADING; INACCURATE INFORMATIONREGARDING FREE STRUCTURE OF ACCOUNT MANAGED BY AN OUTSIDEADVISOR. ALLEGED DAMAGES OF $47,832, PLUS IN ADDITIONAL AMOUNT RANGING FROM $15 TO $33,076, WHICH APPEARS TO BE REALIZED AND LOSSES THAT COULD HAVE BEEN AVOIDED HAD DIFFERENT INVESTMENTS DECISIONS BEEN MADE.
Damage Amount Requested: $80,908.00
Settlement Amount: $27,810.94
Broker Comment: PAYMENT OF $27,810.94 BY SHEARSONNOT PROVIDED

More Information

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