WILLIAM LIEF COLLINS

WILLIAM LIEF COLLINS is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 34901 WOODWARD AVE, SUITE 300, BIRMINGHAM, MI, 48009.

WILLIAM LIEF COLLINS has worked at MORGAN STANLEY since May 28, 2010

Disclosure History

WILLIAM LIEF COLLINS has 2 Disclosure Event(s).

Date: May 19, 2017
Category: Customer Dispute
Allegations: Client alleged there was excessive trading in her account and that the account was improperly invested on her investment knowledge. (09/01/1999-07/31/2010)

Date: March 23, 2016
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNAUTHORIZED TRADING, INTER ALIA, WITH RESPECT TO INVESTMENTS - OCTOBER 2014 - FEBRUARY 2015. DAMAGES UNSPECIFIED.
Settlement Amount: $8,973.25

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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