{"hits":{"total":1,"hits":[{"_type":"_doc","_source":{"content":"{\"basicInformation\": {\"individualId\": 1212093, \"firstName\": \"RICHARD\", \"middleName\": \"SCOTT\", \"lastName\": \"ZINMAN\", \"otherNames\": [], \"bcScope\": \"Active\", \"iaScope\": \"Active\", \"daysInIndustryCalculatedDate\": \"12/8/1983\"}, \"currentEmployments\": [{\"firmId\": 149777, \"firmName\": \"MORGAN STANLEY\", \"iaOnly\": \"N\", \"registrationBeginDate\": \"11/19/2015\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"70103\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"68191\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"408498\", \"street1\": \"1585 Broadway\", \"street2\": \"21St Floor\", \"city\": \"New York\", \"cityAlias\": [\"MANHATTAN\", \"NEW YORK\", \"NEW YORK CITY\", \"NY\", \"NY CITY\", \"NYC\"], \"state\": \"NY\", \"country\": \"United States\", \"zipCode\": \"10036\", \"latitude\": \"40.759477\", \"longitude\": \"-73.989871\", \"geoLocation\": \"40.759477,-73.989871\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"12/13/2024\"}]}], \"currentIAEmployments\": [{\"firmId\": 149777, \"firmName\": \"MORGAN STANLEY\", \"iaOnly\": \"Y\", \"registrationBeginDate\": \"11/19/2015\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"70103\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"68191\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"408498\", \"street1\": \"1585 Broadway\", \"street2\": \"21St Floor\", \"city\": \"New York\", \"cityAlias\": [\"MANHATTAN\", \"NEW YORK\", \"NEW YORK CITY\", \"NY\", \"NY CITY\", \"NYC\"], \"state\": \"NY\", \"country\": \"United States\", \"zipCode\": \"10036\", \"latitude\": \"40.759477\", \"longitude\": \"-73.989871\", \"geoLocation\": \"40.759477,-73.989871\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"12/13/2024\"}]}], \"previousEmployments\": [{\"iaOnly\": \"N\", \"iaSECNumber\": \"56264\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"422\", \"firmId\": 816, \"firmName\": \"CREDIT SUISSE SECURITIES (USA) LLC\", \"city\": \"NEW YORK\", \"state\": \"NY\", \"registrationBeginDate\": \"5/30/2008\", \"registrationEndDate\": \"12/16/2015\", \"firmBCScope\": \"INACTIVE\", \"firmIAScope\": \"INACTIVE\"}, {\"iaOnly\": \"N\", \"iaSECNumber\": \"3387\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"8177\", \"firmId\": 7059, \"firmName\": \"CITIGROUP GLOBAL MARKETS INC.\", \"city\": \"NEW YORK\", \"state\": \"NY\", \"registrationBeginDate\": \"9/25/2001\", \"registrationEndDate\": \"6/13/2008\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\"}, {\"iaOnly\": \"N\", \"bdSECNumber\": \"42263\", \"firmId\": 26091, \"firmName\": \"BANC OF AMERICA SECURITIES LLC\", \"city\": \"NEW YORK\", \"state\": \"NY\", \"country\": \"UNITED STATES\", \"registrationBeginDate\": \"10/1/1997\", \"registrationEndDate\": \"9/26/2001\", \"firmBCScope\": \"INACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}, {\"iaOnly\": \"N\", \"bdSECNumber\": \"15306\", \"firmId\": 4357, \"firmName\": \"MONTGOMERY SECURITIES\", \"city\": \"SAN FRANCISCO\", \"state\": \"CA\", \"country\": \"United States\", \"registrationBeginDate\": \"11/6/1996\", \"registrationEndDate\": \"10/1/1997\", \"firmBCScope\": \"INACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}, {\"iaOnly\": \"N\", \"iaSECNumber\": \"56264\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"422\", \"firmId\": 816, \"firmName\": \"CS FIRST BOSTON CORPORATION\", \"city\": \"NEW YORK\", \"state\": \"NY\", \"country\": \"UNITED STATES\", \"registrationBeginDate\": \"12/23/1991\", \"registrationEndDate\": \"11/6/1996\", \"firmBCScope\": \"INACTIVE\", \"firmIAScope\": \"INACTIVE\"}, {\"iaOnly\": \"N\", \"iaSECNumber\": \"3387\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"8177\", \"firmId\": 7059, \"firmName\": \"SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED\", \"city\": \"NEW YORK\", \"state\": \"NY\", \"country\": \"UNITED STATES\", \"registrationBeginDate\": \"1/26/1988\", \"registrationEndDate\": \"12/16/1991\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\"}, {\"iaOnly\": \"N\", \"bdSECNumber\": \"18333\", \"firmId\": 630, \"firmName\": \"OPPENHEIMER & CO., INC.\", \"registrationBeginDate\": \"4/2/1985\", \"registrationEndDate\": \"2/9/1988\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}, {\"iaOnly\": \"N\", \"bdSECNumber\": \"14172\", \"firmId\": 7556, \"firmName\": \"DEAN WITTER REYNOLDS INC.\", \"registrationBeginDate\": \"11/23/1983\", \"registrationEndDate\": \"3/22/1985\", \"firmBCScope\": \"INACTIVE\", \"firmIAScope\": \"NOTINSCOPE\"}], \"previousIAEmployments\": [{\"iaOnly\": \"Y\", \"iaSECNumber\": \"56264\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"422\", \"firmId\": 816, \"firmName\": \"CREDIT SUISSE SECURITIES (USA) LLC\", \"city\": \"NEW YORK\", \"state\": \"NY\", \"country\": \"United States\", \"registrationBeginDate\": \"6/24/2015\", \"registrationEndDate\": \"12/16/2015\", \"firmBCScope\": \"INACTIVE\", \"firmIAScope\": \"INACTIVE\"}], \"disclosureFlag\": \"Y\", \"iaDisclosureFlag\": \"Y\", \"disclosures\": [{\"eventDate\": \"8/25/2011\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CUSTOMER ALLEGES THAT WHILE EQUITY TRANSACTIONS IN HIS PORTFOLIO WERE DISCUSSED IN DETAIL, BOND TRADES ON AUGUST 25TH, THAT RESULTED IN A LOSS WERE NOT DISCUSSED BEFOREHAND.\", \"Damage Amount Requested\": \"$50,000.00\", \"Settlement Amount\": \"$58,265.63\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\"}}, {\"eventDate\": \"4/27/1999\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Settled\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"IN THE ORIGINAL STATEMENT OF CLAIM, THE CLAIMANT ALLEGED UNSUITABLE INVESTMENT ADVICE AND RELATED CLAIMS.  THE ALLEGED OUT-OF-POCKET LOSS WAS APPROXIMATELY $10 MILLION.  CLAIMANT FILED AN AMENDED STATEMENT OF CLAIM THAT DELETED ME AS A PARTY.\", \"Damage Amount Requested\": \"$10,000,000.00\", \"Settlement Amount\": \"$2,225,000.00\", \"DisplayAAOLinkIfExists\": \"Y\", \"arbitrationClaimFiledDetail\": \"99-01928\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"[CUSTOMER] PURSUED AN AGGRESSIVE INVESTMENT STRATEGY THROUGH THE PLACEMENT OF UNSOLICITED OPTION AND SHORT-TERM STOCK TRADES. AT VARIOUS TIMES, [CUSTOMER] EXPRESSED TO BOTH ME AND MY SUPERVISOR THAT THEY UNDERSTOOD THE POTENTIAL FOR LOSS. ULTIMATELY, THE MATTER WAS RESOLVED FOR BUSINESS PURPOSES AND TO AVOID THE COSTS AND UNCERTAINTIES OF PROTRACTED LITIGATION. [CUSTOMER] AMENDED ITS STATEMENT OF CLAIM TO DELETE ME AS A PARTY AND I AM NOT REQUIRED TO CONTRIBUTE TOWARD THE SETTLEMENT. THE PRINCIPAL OFFICER OF [CUSTOMER] ACKNOWLEDGED IN AN AFFIDAVIT THAT [CUSTOMER] DID NOT FOLLOW MY ADVICE TO PURSUE A MORE CONSERVATIVE INVESTMENT STRATEGY.\"]}}], \"examsCount\": {\"stateExamCount\": 2, \"principalExamCount\": 1, \"productExamCount\": 3}, \"stateExamCategory\": [{\"examCategory\": \"Series 65\", \"examName\": \"Uniform Investment Adviser Law Examination\", \"examTakenDate\": \"6/23/2015\", \"examScope\": \"IA\"}, {\"examCategory\": \"Series 63\", \"examName\": \"Uniform Securities Agent State Law Examination\", \"examTakenDate\": \"12/7/1983\", \"examScope\": \"BC\"}], \"principalExamCategory\": [{\"examCategory\": \"Series 24\", \"examName\": \"General Securities Principal Examination\", \"examTakenDate\": \"9/10/1998\", \"examScope\": \"BC\"}], \"productExamCategory\": [{\"examCategory\": \"SIE\", \"examName\": \"Securities Industry Essentials Examination\", \"examTakenDate\": \"10/1/2018\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 3\", \"examName\": \"National Commodity Futures Examination\", \"examTakenDate\": \"1/12/1993\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 7\", \"examName\": \"General Securities Representative Examination\", \"examTakenDate\": \"11/19/1983\", \"examScope\": \"BC\"}], \"registrationCount\": {\"approvedSRORegistrationCount\": 4, \"approvedFinraRegistrationCount\": 1, \"approvedStateRegistrationCount\": 53, \"approvedIAStateRegistrationCount\": 5}, \"registeredStates\": [{\"state\": \"Alabama\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Alaska\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/4/2016\"}, {\"state\": \"Arizona\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/7/2016\"}, {\"state\": \"Arkansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"California\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/8/2016\"}, {\"state\": \"Colorado\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/21/2016\"}, {\"state\": \"Connecticut\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/16/2015\"}, {\"state\": \"Connecticut\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"10/1/2021\"}, {\"state\": \"Delaware\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/4/2016\"}, {\"state\": \"District of Columbia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Florida\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Florida\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"3/30/2021\"}, {\"state\": \"Georgia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/23/2015\"}, {\"state\": \"Hawaii\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/4/2016\"}, {\"state\": \"Idaho\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/20/2015\"}, {\"state\": \"Illinois\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/25/2016\"}, {\"state\": \"Indiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/5/2016\"}, {\"state\": \"Iowa\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/5/2016\"}, {\"state\": \"Kansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Kentucky\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/17/2015\"}, {\"state\": \"Louisiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Maine\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/20/2015\"}, {\"state\": \"Maryland\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/23/2015\"}, {\"state\": \"Massachusetts\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/12/2016\"}, {\"state\": \"Michigan\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Minnesota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Mississippi\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Missouri\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/25/2016\"}, {\"state\": \"Montana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"6/17/2016\"}, {\"state\": \"Nebraska\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Nevada\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"New Hampshire\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"New Jersey\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"New Jersey\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"11/20/2015\"}, {\"state\": \"New Mexico\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"New York\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"New York\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"6/16/2021\"}, {\"state\": \"North Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"North Dakota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/12/2016\"}, {\"state\": \"Ohio\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Oklahoma\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/21/2015\"}, {\"state\": \"Oregon\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/8/2016\"}, {\"state\": \"Pennsylvania\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Puerto Rico\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/4/2015\"}, {\"state\": \"Rhode Island\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"South Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/22/2015\"}, {\"state\": \"South Dakota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Tennessee\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Texas\", \"regScope\": \"IA\", \"status\": \"APPROVED_RES\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Texas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/9/2016\"}, {\"state\": \"Utah\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/22/2015\"}, {\"state\": \"Vermont\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Virgin Islands\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/12/2015\"}, {\"state\": \"Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/21/2015\"}, {\"state\": \"Washington\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"12/28/2015\"}, {\"state\": \"West Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Wisconsin\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}, {\"state\": \"Wyoming\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/19/2015\"}], \"registeredSROs\": [{\"sro\": \"FINRA\", \"status\": \"APPROVED\", \"CategoriesList\": [\"Full Registration/General Securities Representative\"]}, {\"sro\": \"NYSE American LLC\", \"status\": \"APPROVED\"}, {\"sro\": \"Nasdaq Stock Market\", \"status\": \"APPROVED\"}, {\"sro\": \"New York Stock Exchange\", \"status\": \"APPROVED\"}], \"brokerDetails\": {\"hasBCComments\": \"N\", \"hasIAComments\": \"N\", \"legacyReportStatusDescription\": \"Not Requested\"}}"}}]}}