DID BRIAN C PFEIFLER CAUSE YOU INVESTMENT LOSSES?
Brian Pfeifler Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct
About Brian Pfeifler of Morgan Stanley?
Brian Pfeifler (CRD #2083301) has been a securities professional since 1992, currently employed by Morgan Stanley, where he has been registered as a broker and investment advisor since June 2009. He has been affiliated with Morgan Stanley in various capacities, previously working with Morgan Stanley & Co. Incorporated and Morgan Stanley Market Products Inc. Over his career, he has passed four industry exams, including the General Securities Representative Exam (Series 7) and the Uniform Investment Adviser Law Exam (Series 65). He is licensed in 53 U.S. states and territories, including New York, Florida, and California, and registered with four self-regulatory organizations (SROs).
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Brian Pfeifler Customer Complaints and Reviews
Brian Pfeifler has two pending customer disputes disclosed on his FINRA record.
- Dispute #1 (Filed January 2024):
- Complaint: Claimants allege unsuitability concerning alternative investments, particularly equity securities, during the period December 2021 to January 2024.
- Outcome: The case is pending arbitration through FINRA. Pfeifler denies the allegations and plans to defend against the claims.
- Dispute #2 (Filed December 2023):
- Complaint: Client alleges unsuitability related to alternative investments, including private placements, hedge funds, and managed accounts, spanning 2022–2023.
- Outcome: This case is also pending through FINRA arbitration. Pfeifler denies the allegations and intends to contest the claims.
Allegations Against Brian Pfeifler
The allegations against Brian Pfeifler center on claims of unsuitable investment recommendations in alternative asset classes:
- Case 1:
- Date: December 2021 – January 2024
- Allegations: Unsuitability in equity-listed securities
- Status: Pending FINRA arbitration
- Case 2:
- Date: 2022–2023
- Allegations: Unsuitability in private placements, hedge funds, and managed accounts
- Status: Pending FINRA arbitration
Brian Pfeifler Red Flags & Your Rights As An Investor
Of course, Brian Pfeifler 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 Brian Pfeifler at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Brian Pfeifler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s 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 Morgan Stanley Due To Brian Pfeifler
If you have questions about Morgan Stanley and/or Brian Pfeifler 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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