WILLIAM KEITH PHILLIPS is currently employed as a Broker and/or Investment Adviser at WILEY BROS.-AINTREE CAPITAL, LLC located at 40 BURTON HILLS BLVD, 2ND FLOOR, NASHVILLE, TN, 37215.
WILLIAM KEITH PHILLIPS has worked at WILEY BROS.-AINTREE CAPITAL, LLC since April 13, 2006
Disclosure History
WILLIAM KEITH PHILLIPS has 5 Disclosure Event(s).
Date: June 02, 2010 Category: Regulatory
Date: July 20, 2009 Category: Regulatory
Date: June 14, 2004 Category: Customer Dispute Allegations: THE STATEMENT OF CLAIM ASSERTS A VARIETY OF ACTION CENTERING ON ALLEGED CONFLICTS OF INTEREST IN THE MANAGEMENT OF THE CITY'S GENERAL PENSION PLAN. Damage Amount Requested: $20,000,000.00 Settlement Amount: $5,000,000.00 Broker Comment: UBS HAS SETTLED THE MATTER ON 12/21/2005 IN THE AMOUNT OF $675,000. MORGAN STANLEY AND KEITH PHILLIPS WILL CONTINUE TO VIGOROUSLY CONTEST THE ALLEGATIONS.
Date: January 25, 2003 Category: Customer Dispute Allegations: CUSTOMER ALLEGES VARIOUS SALES PRACTICE VIOLATIONS IN CONNECTION WITH PENSION CONSULTING RELATIONSHIP. DAMAGES UNSPECIFIED. Settlement Amount: $440,000.00 Broker Comment: SERVICE NEVER FILED A FORMAL COMPLAINT OR DEMAND FOR ARBITRATION. MR. PHILLIPS DENIES THAT THERE WAS ANY IMPROPRIETY OR WRONGDOING OR MERIT TO THE CLAIM. THE MATTER WAS SETTLED WITHOUT ANY ADMISSION OF LIABILITY BY MR. PHILLIPS.
Date: December 01, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGED VARIOUS SALES PRACTICE VIOLATIONS IN CONNECTION WITH PENSION CONSULTING RELATIONSHIP. DAMAGES UNSPECIFIED. Settlement Amount: $10,300,000.00
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