DID ROBERT J RUMLEY III CAUSE YOU INVESTMENT LOSSES?
Robert Rumley, III Of William Blair And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Robert Rumley, III of William Blair?
Robert Rumley, III (CRD #4474706) who is currently registered as a broker and investment adviser with William Blair and located in Atlanta, Georgia, is a subject of one of our many securities industry sales practice abuse investigations. Prior to William Blair, Robert Rumley, III was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Robert Rumley, III Customer Complaints
Robert Rumley, III has been the subject of 2 customer complaints that we know about seeking to recover investment losses. Morgan Stanley denied one of the customer complaints and the investor took no further action. There is currently one FINRA arbitration proceeding as recently filed and still pending against Morgan Stanley for Robert Romley’s alleged misconduct.
Allegations Against Robert Rumley, III
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Mismanagement of accounts.
- Failure to manage client’s accounts in accordance with her best interests.
- Unauthorized sale of stock in customer’s account.
Robert Rumley, III Red Flags & Your Rights As An Investor
Of course, Robert Rumley, III did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Robert Rumley, III at William Blair and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Robert Rumley, III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at William Blair and Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At William Blair Due To Robert Rumley, III
If you have questions about William Blair, Morgan Stanley and/or Robert Rumley, III and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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