Timothy John Platt, of Naperville, Illinois, a stockbroker formerly registered with Morgan Stanley, is the subject of a customer initiated investment related complaint, which settled on October 26, 2016, for $112,500.00 in damages resting upon allegations that from June 2, 2011, and May 17, 2016, Platt effected mutual fund transactions in the customer’s account despite the investments failing to be suitable for the customer.
Platt’s registration with Morgan Stanley was terminated on August 21, 2017. Since August 11, 2017, he has been registered with Benjamin F. Edwards & Company, Inc.
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