DID ROGER ALBERT TAFT GALLAGHER CAUSE YOU INVESTMENT LOSSES?
Roger Gallagher Formerly With Morgan Stanley was terminated on August 9, 2024, due to allegations related to undisclosed financial arrangements
Who is Roger Gallagher formerly with Morgan Stanley?
Roger Gallagher (CRD #5513745) who was formerly registered as a broker with Morgan Stanley and located in Purchase, New York, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Roger Gallagher Customer Complaints and Reviews
Roger Albert Taft Gallagher is a former securities broker with a varied background in the industry. He worked for two firms during his career, the most notable being Morgan Stanley, where he was employed from December 2012 until September 2024. During his time in the industry, Gallagher passed two general industry/product exams, including the Securities Industry Essentials Examination in 2018 and the General Securities Representative Examination (Series 7) in 2012. Additionally, he passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) in 2013.
Gallagher holds no supervisory or principal qualifications and has no current registrations. His career includes various business activities, such as involvement with investment-related and non-investment-related ventures. Notably, Gallagher was terminated from his last position at Morgan Stanley in August 2024 due to allegations related to undisclosed financial arrangements.
Allegations Against Roger Gallagher
Roger Gallagher has several disclosure events listed in his FINRA report. These include a pending criminal case involving charges of fictitious obligations and mail fraud, both filed in August 2024 in the United States District Court for the Southern District of Florida. Gallagher has pleaded not guilty to all charges. Additionally, there is one customer dispute filed in March 2021, alleging misrepresentation in the recommendation to sell shares, which was eventually denied and closed without any action.
Lastly, Gallagher was discharged from Morgan Stanley in August 2024 due to allegations of involvement in undisclosed financial arrangements with a potential third-party service provider. There are no records of any monetary settlements or additional legal actions tied to these disclosures.
Roger Gallagher Red Flags & Your Rights As An Investor
Of course, Roger Gallagher 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 coupled with the recent termination are red flags which should put all current and former customers of Roger Gallagher at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Roger Gallagher 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 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 Morgan Stanley Due To Roger Gallagher
If you have questions about Morgan Stanley and/or Roger Gallagher 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.
Rate this Post
Loading...