WAYNE ALEXANDER DAWSON is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 6606 U S HIGHWAY 98 WEST, HATTIESBURG, MS, 39402-8555.
WAYNE ALEXANDER DAWSON has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
WAYNE ALEXANDER DAWSON has 2 Disclosure Event(s).
Date: April 29, 2003 Category: Customer Dispute Allegations: THE [CUSTOMERS] ALLEGED THAT THEIR ACCOUNT AT LEGG MASON WAS NEGLECTED DURING 2001, WORSENING LOSSES THEY SUFFERED AT THEIR PREVIOUS FIRM AND THAT UNSUITABLE RECOMMENDATIONS WERE MADE. Damage Amount Requested: $162,000.00 Settlement Amount: $17,500.00 Broker Comment: IN ORDER TO AVOID THE RISKS AND COST ASSOCIATED WITH ARBITRATION BOTH PARTIES AGREED TO SETTLE THIS MATTER. THE PARTIES HAVE SUBMITTED A STIPULATED AWARD TO THE PANEL THAT PROVIDES FOR THE EXPUNGEMENT OF THE BROKERS RECORD UPON THE ISSUANCE OF AN ORDER OF CONFIRMATION FROM A COURT OF COMPETENT JURISDICTION.
Date: May 07, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT MR. DAWSON RECOMMENDED THAT MARGIN BE USED IN HIS ACCOUNT IN NOVEMBER 1996 IN ORDER TO MEET HIS CASH FLOW NEEDS WITHOUT PROPERLY EXPLAINING MARGIN TO HIM. DAMAGES UNSPECIFIED BUT BELIEVED TO BE APPROXIMATELY $67,857.59. Damage Amount Requested: $67,857.59
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