Mark Andrew Milligan of Blue Bell Pennsylvania is a stockbroker formerly registered with Morgan Stanley who is the subject of a customer initiated investment related arbitration claim in which the customer requested ninety-nine thousand two hundred eighty one dollars in damages founded on allegations that Milligan effected unsuitable mutual fund transactions in the customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-03575 (Dec. 13 2016).
FINRA Public Disclosure reveals that Milligan has been referenced in two additional customer initiated investment related disputes containing accusations of Milligan’s misconduct during the period that he was employed with Legg Mason Wood Walker, Inc. and Citigroup GMI. Specifically, on October 18, 2001, a customer filed an investment related written complaint pertaining to Milligan’s conduct, where the customer sought $21,789.00 in damages supported by allegations that Milligan failed to abide by the customer’s instructions concerning the accessibility of her assets in a mutual fund portfolio.
Moreover, on June 15, 2006, a customer initiated investment related written complaint regarding Milligan’s activities was resolved for $14,589.48 in damages based upon accusations that Milligan failed to liquidate the customer’s stock holdings according to the customer’s instructions.
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