Jun 27, 2022

Allan Klenke of Morgan Stanley

DID ALLAN JOHN KLENKE CAUSE YOU INVESTMENT LOSSES? Allan Klenke Of Morgan Stanley And Formerly With UBS Financial Services Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Allan Klenke of Morgan Stanley? Allan Klenke (CRD #2252963) who is currently registered with Morgan Stanley and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Morgan Stanley, Allan Klenke was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Allan Klenke Customer Complaint Allan Klenke has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that Allan Klenke made misrepresentations and unsuitable recommendations with respect to an investment in and the hold recommendation of an option overlay strategy.  The customer complaint filed against Allan Klenke’s former employer UBS Financial Services Inc. for investment losses caused by the alleged misconduct is pending as of the date of this report. Allan Klenke Red Flags & Your Rights As An Investor Of course, Allan Klenke 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 Allan Klenke at Morgan Stanley and UBS Financial Services Inc.on alert to review carefully the activity and performance of their accounts and question whether Allan Klenke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and UBS Financial Services Inc. 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Allan Klenke If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or Allan Klenke 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.

Continue Reading

Jun 27, 2022

Antoine Souma of Insigneo Securities, LLC

DID ANTOINE NABIH SOUMA CAUSE YOU INVESTMENT LOSSES? Antoine Souma Of Insigneo Securities, LLC And Formerly With Morgan Stanley And J.P. Morgan Securities LLC Has 2 Customer Complaints For Alleged Broker Misconduct Who is Antoine Souma of Insigneo Securities, LLC? Antoine Souma (CRD #4210987) who is currently registered with Insigneo Securities, LLC and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Insigneo Securities, LLC, Antoine Souma was associated with Morgan Stanley, J.P. Morgan Securities LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Antoine Souma Customer Complaints Antoine Souma has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses.  One of Antoine Souma’s 2 customer complaints was settled in favor of investor. One of Antoine Souma’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Antoine Souma A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Exercise of discretion, excessive and unsuitable trading, falsified performance reports, and breach of fiduciary duty, breach of contract, constructive fraud, in violation of state and federal securities laws resulting in a settlement of over $14 million. Unsuitable recommendation of alternative investments. Antoine Souma Red Flags & Your Rights As An Investor Of course, Antoine Souma 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 Antoine Souma at Insigneo Securities, LLC, Morgan Stanley, J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Antoine Souma has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Insigneo Securities, LLC, Morgan Stanley, J.P. Morgan Securities LLC 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. File A Claim To Recover Your Investment Losses At Insigneo Securities, LLC Due To Antoine Souma If you have questions about Insigneo Securities, LLC, Morgan Stanley, J.P. Morgan Securities LLC and/or Antoine Souma 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.

Continue Reading

Jun 27, 2022

Brady Clar of Charles Schwab & Co., Inc.

DID BRADY JAY CLAR CAUSE YOU INVESTMENT LOSSES? Brady Clar Of Charles Schwab & Co., Inc. And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Brady Clar of Charles Schwab & Co., Inc.? Brady Clar (CRD #4038561) who is currently registered with Charles Schwab & Co., Inc. and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Charles Schwab & Co., Inc., Brady Clar was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Brady Clar Customer Complaint Brady Clar has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were Bradley Clar gave poor advice with respect to the sale of master limited partnerships. Brady Clar’s customer complaint was settled in favor of the investors. Brady Clar Red Flags & Your Rights As An Investor Of course, Brady Clar 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 Brady Clar at Charles Schwab & Co., Inc. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Brady Clar has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co., Inc. and 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. File A Claim To Recover Your Investment Losses At Charles Schwab & Co., Inc. Due To Brady Clar If you have questions about Charles Schwab & Co., Inc., Morgan Stanley  and/or Brady Clar 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.

Continue Reading

Jun 27, 2022

Candido Viyella formerly with Morgan Stanley

DID CANDIDO JOSE VIYELLA CAUSE YOU INVESTMENT LOSSES? Candido Viyella Formerly With Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Who is Candido Viyella formerly with Morgan Stanley? Candido Viyella (CRD #1829255) who was formerly registered with Morgan Stanley and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Candido Viyella Customer Complaints Candido Viyella has been the subject of 5 customer complaints that we know about, 4 of those complaints were filed in the last year to recover investment losses. Two of Candido Viyella’s 5 customer complaints were settled in favor of investors. There are currently 3 pending customer complaints filed against Candido Viyella’s current employer Morgan Stanley, and former employers MSSB and MS for investment losses caused by the alleged misconduct. All of the customer complaints related to the sale of promissory notes which were allegedly not authorized by the brokerage firm to be sold. Further, the investments were allegedly misrepresented by the financial advisor. Candido Viyella Red Flags & Your Rights As An Investor Of course, Candido Viyella 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 Candido Viyella at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Candido Viyella 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Candido Viyella If you have questions about Morgan Stanley and/or Candido Viyella 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.

Continue Reading

Jun 27, 2022

Joshua Breeden of UBS Financial Services

DID JOSHUA CORRY BREEDEN CAUSE YOU INVESTMENT LOSSES? Joshua Breeden Of UBS Financial Services And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Joshua Breeden of UBS Financial Services? Joshua Breeden (CRD #2669159) who is currently registered with UBS Financial Services and located in Walnut Creek, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Joshua Breeden was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Joshua Breeden Customer Complaints Joshua Breeden has been the subject of 2 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. One of Joshua Breeden’s 2 customer complaints was settled in favor of investors. One of Joshua Breeden’s customers complaints was denied and, to date, the customers have not taken any further action. Allegations Against Joshua Breeden A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged mutual fund investment was misrepresented by Joshua Breeden. Client alleged that purchase of two high yield bonds by Joshua Breeden were not in accordance with their instructions. Joshua Breeden Red Flags & Your Rights As An Investor Of course, Joshua Breeden 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 Joshua Breeden at UBS Financial Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Joshua Breeden has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services 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. File A Claim To Recover Your Investment Losses At UBS Financial Services Due To Joshua Breeden If you have questions about UBS Financial Services, Morgan Stanley, and/or Joshua Breeden 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.

Continue Reading

Jun 20, 2022

Chris Hudson of Morgan Stanley

It is critical that everyone understand as much as possible about the people with whom they entrust their money. Background information, including past employment history, regulatory disciplinary actions, and consumer complaints, is available in a variety of places. These details may cause you to wonder about Chris Hudson and any investment losses you incurred. We’ll do our best to address any concerns that arise as a result of this information. DID CHRIS ALLEN HUDSON CAUSE YOU INVESTMENT LOSSES? Chris Hudson Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Chris Hudson of Morgan Stanley? Chris Hudson (CRD #2517201) who is currently registered with Morgan Stanley and located in Louisville, Kentucky is a subject of one of our many securities industry sales practice abuse investigations. Chris Hudson Customer Complaint Chris Hudson has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were failure to follow client’s instructions with respect to reinvestment into ETF’s. Chris Hudson’s customer complaint was denied and, to date, the customer has not taken any further action. Chris Hudson Red Flags & Your Rights As An Investor Of course, Chris Hudson 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 Chris Hudson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Chris Hudson 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Chris Hudson If you have questions about Morgan Stanley and/or Chris Hudson 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.

Continue Reading

Mar 23, 2022

Carol Brookman formerly with Morgan Stanley

DID CAROL ANN BROOKMAN CAUSE YOU INVESTMENT LOSSES? Carol Brookman Formerly With Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Carol Brookman formerly with Morgan Stanley? Carol Brookman (CRD #715993) who was formerly registered with Morgan Stanley and located in St. Paul, Minnesota is a subject of one of our many securities industry sales practice abuse investigations.  Carol Brookman Customer Complaints Carol Brookman has been the subject of 3 customer complaints that we know about, 1of those complaints was filed in the last year to recover investment losses. One of Carol Brookman’s 3 customer complaints was settled in favor of investors. Two of Carol Brookman’s customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Carol Brookman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unauthorized trading. Misrepresentations of structured note investments. Unsuitable investment recommendations, failure to diversify, and excessive trading in educational trust accounts. Carol Brookman Red Flags & Your Rights As An Investor Of course, Carol Brookman 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 Carol Brookman at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Carol Brookman 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Carol Brookman If you have questions about Morgan Stanley and/or Carol Brookman 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.

Continue Reading

Mar 21, 2022

Noel Williams of Morgan Stanley

DID C. NOEL WILLIAMS CAUSE YOU INVESTMENT LOSSES? Noel Williams Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Noel Williams of Morgan Stanley? Noel Williams (CRD #2540177) who is currently registered with Morgan Stanley and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations.   Noel Williams Customer Complaints Noel Williams has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses.  All 3 of Noel Williams’ customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Noel Williams A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations of unit investment trusts, structured products, and corporate debt. Excessive trading. Unsuitable investment recommendations relating to mutual funds. Noel Williams Red Flags & Your Rights As An Investor Of course, Noel Williams 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 Noel Williams at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Noel Williams 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Noel Williams If you have questions about Morgan Stanley and/or Noel Williams 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.

Continue Reading

Mar 18, 2022

Burton Halpert of Morgan Stanley

DID BURTON SHELDON HALPERT CAUSE YOU INVESTMENT LOSSES? Burton Halpert Of Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Burton Halpert of Morgan Stanley? Burton Halpert (CRD #234619) who is currently registered with Morgan Stanley and located in Lutherville, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Burton Halpert Customer Complaints Burton Halpert has been the subject of 4 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Burton Halpert’s 4customer complaints were settled in favor of investors. One of Burton Halpert’s customer complaints was denied and, to date, the customer has not taken any further action. There is currently 1 pending customer complaint filed against Burton Halpert’s former employer MSSB for investment losses caused by the alleged misconduct. Allegations Against Burton Halpert A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentations regarding investments in Fannie Mae preferred stock. Unsuitable investment recommendations involving over-the-counter equity transactions. Misrepresentation of risk related to an investment in common and preferred stock. Unsuitable investment recommendations involving equity listed common and preferred stocks. Burton Halpert Red Flags & Your Rights As An Investor Of course, Burton Halpert 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 Burton Halpert at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Burton Halpert 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Burton Halpert If you have questions about Morgan Stanley and/or Burton Halpert 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.

Continue Reading

Mar 9, 2022

Daniel Pye of Morgan Stanley

DID DANIEL PYE CAUSE YOU INVESTMENT LOSSES? Daniel Pye Formerly With Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct Daniel Pye Customer Complaints Daniel Pye has been the subject of5 customer complaints that we know about, and one of those complaints was filed in the last year to recover investment losses. One of Daniel Pye’s customer complaints resulted in an arbitration award in favor of the investor. Two of Daniel Pye’s 5 customer complaints were settled in favor of investors. Two of Daniel Pye’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Daniel Pye A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Daniel Pye Red Flags & Your Rights As An Investor Of course, Daniel Pye 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 Daniel Pye at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Daniel Pye 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. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Daniel Pye If you have questions about Morgan Stanley and/or Daniel Pye 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.

Continue Reading