THOMAS WILSON MURRAY is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 55 SOUTH LAKE AVENUE, SUITE 700, PASADENA, CA, 91101.
THOMAS WILSON MURRAY has worked at MORGAN STANLEY since April 16, 2010
Disclosure History
THOMAS WILSON MURRAY has 2 Disclosure Event(s).
Date: November 15, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES EXCESSIVE TRADING AND UNSUITABLE RECOMMENDATIONS CONCERNING COMMON STOCKS, AND FAILURE TO EXPLAINE MUTUAL FUND CONTINGENT DEFERRED SALES CHARGES. TIME PERIOD IS 11/99 TO DATE. ALLEGES DAMAGES OF $200,000.00. Damage Amount Requested: $200,000.00 Broker Comment: IN A LETTER DATED 01-06-02, THE FIRM DENIED THE CLIENT'S ALLEGATIONS.
Date: April 16, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES HE PURCHASED $34,000 OF CPN ON DECEMBER 11, 2001, IN PART, BECAUSE THE BROKER SAID HE HAD REVIEWED THE STOCK. CLIENT ALSO ALLEGES THAT THE REVIEW CONSISTED OF READING REPORTS PREPARED BY VARIOUS OTHER FINANCIAL COMPANIES AND THAT THOSE REPORTS COULD HAVE BEEN BASED ON SPECULATION. THE CLIENT FURTHER ALLEGES THAT THE BROKER NEGLECTED TO TELL HIM ABOUT NEGATIVE NEWS PERTAINING TO THE STOCK. THE STOCK WAS SOLD THE DAY AFTER PURCHASE WHEN ITS PRICE DECLINED, PURSUANT TO A STOP LOSS ORDER ENTERED AT THE TIME OF PURCHASE. THE CLIENT SAYS HE SHOULD BE REIMBURSED FOR HIS $7,140 LOSS ON THE STOCK. Damage Amount Requested: $7,140.00 Broker Comment: ALLEGATIONS DENIED BY FIRM IN A 5/3/02 LETTER TO CLIENT.
More Information
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