WENDELL TSUGIO HISAKA

WENDELL TSUGIO HISAKA is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 733 BISHOP STREET, SUITE 2800, HONOLULU, HI, 96813.

WENDELL TSUGIO HISAKA has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

WENDELL TSUGIO HISAKA has 1 Disclosure Event(s).

Date: August 07, 2000
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT IN 1995 STOCKS IN HER ACCOUNT WERE SOLD AT A LOSS, AND THAT WHEN SHE MADE SUBSTANTIAL PROFITS IN 1999 SHE WAS NOT INFORMED ABOUT CAPITAL GAINS TAXES.
Damage Amount Requested: $36,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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

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