Mar 8, 2022

Howard Smith of Morgan Stanley

DID HOWARD JAY SMITH CAUSE YOU INVESTMENT LOSSES? Howard Smith Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Howard Smith of Morgan Stanley? Howard Smith (CRD #2703964) who is currently registered with Morgan Stanley and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations. Howard Smith Customer Complaints Howard Smith has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Howard Smith’s 2 customer complaints was settled in favor of investors. One of Howard Smith’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Howard Smith 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 that his instructions to keep a cash balance in his account were not followed by Howard Smith and that it was invested in the market causing him to incur losses. 2020. It is claimed, inter alia, that the funds in customer’s accounts were mishandled, resulting in losses, allegedly by Howard Smith. Howard Smith Red Flags & Your Rights As An Investor Of course, Howard Smith 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 Howard Smith at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Howard Smith 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 Howard Smith If you have questions about Morgan Stanley and/or Howard Smith 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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Mar 8, 2022

Daniel Richardson of Morgan Stanley

DID DANIEL RICHARDSON CAUSE YOU INVESTMENT LOSSES? Daniel Richardson Of Morgan Stanley Has One Customer Complaint For Alleged Broker Misconduct Who is Daniel Richardson of Morgan Stanley? Daniel Richardson (CRD #2693621) who is currently registered with Morgan Stanley and located in Palm Harbor, Florida is a subject of one of our many securities industry sales practice abuse investigations. Daniel Richardson Customer Complaint Daniel Richardson 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 the investments in his accounts were unsuitable because they were too conservative in nature for his moderate risk tolerance. Daniel Richardson’s customer complaint was denied and, to date, the customer has not taken any further action. Daniel Richardson Red Flags & Your Rights As An Investor Of course, Daniel Richardson 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 Richardson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Daniel Richardson 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 Daniel Richardson If you have questions about Morgan Stanley and/or Daniel Richardson 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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Mar 8, 2022

George Strnad of Morgan Stanley

DID GEORGE JOSEPH STRNAD CAUSE YOU INVESTMENT LOSSES? George Strnad Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is George Strnad of Morgan Stanley? George Strnad (CRD #1635225) who is currently registered with Morgan Stanley and located in Monarch Beach, California is a subject of one of our many securities industry sales practice abuse investigations. George Strnad Customer Complaints George Strnad has been the subject of 2 customer complaints that we know about. One of George Strnad’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by George Strnad’s alleged misconduct. Allegations Against George Strnad A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged, inter alia, George Strnad’s unsuitable recommendations of investments. Claimants alleged, George Strnad’s misrepresentation with respect to investments. George Strnad Red Flags & Your Rights As An Investor Of course, George Strnad 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 George Strnad at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether George Strnad 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 George Strnad If you have questions about Morgan Stanley and/or George Strnad 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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Mar 8, 2022

Andrew Sukhin of Morgan Stanley

DID ANDREW GEORGE SUKHIN CAUSE YOU INVESTMENT LOSSES? Andrew Sukhin Of Morgan Stanley Has 9 Customer Complaints For Alleged Broker Misconduct Who is Andrew Sukhin of Morgan Stanley? Andrew Sukhin (CRD #2102283) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Andrew Sukhin Customer Complaints Andrew Sukhin has been the subject of 9 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Andrew Sukhin’s 9 customer complaints resulted in an arbitration award in favor of the investor. Three of Andrew Sukhin’s 9 customer complaints were settled in favor of investors. Five of Andrew Sukhin’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Andrew Sukhin 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 that Andrew Sukhin inappropriately advised him to establish an off shore account which resulted in tax penalties; client also alleged Mr. Sukhin inappropriately recommended a variable annuity. Client alleged, inter alia, Andrew Sukhin’s misrepresentation with respect to managed account investments. Client alleged Andrew Sukhin’s failure to disclose prepayment penalty on express credit loan. Clients alleged that their accounts were engaged in unsuitable and unauthorized transactions by Andrew Sukhin. Additional allegations included, breach of contract, violations of the FINRA Suitability Rules, breach of fiduciary duty, failure to supervise and control person liability, negligence and unauthorized trading. Customer alleged that agreement existed with Andrew Sukhin whereby he promised an 8% return per year. Andrew Sukhin’s alleged failure to disclose risks associated with the purchase of auction rate securities. The client alleged Andrew Sukhin’s failure to follow instructions with respect to investment guidelines. Damages unspecified. Unauthorized, excessive trading allegedly by Andrew Sukhin. Andrew Sukhin Red Flags & Your Rights As An Investor Of course, Andrew Sukhin 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 Andrew Sukhin at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Andrew Sukhin 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 Andrew Sukhin If you have questions about Morgan Stanley and/or Andrew Sukhin 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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Mar 8, 2022

James Syvertson Formerly With Morgan Stanley

DID JAMES ARNOLD SYVERTSON CAUSE YOU INVESTMENT LOSSES? James Syvertson Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is James Syvertson formerly with Morgan Stanley? James Syvertson (CRD #2289132) who was formerly registered with Morgan Stanley and located in Fargo, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. James Syvertson Customer Complaint James Syvertson 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 unsuitable recommendations by James Syvertson with respect to energy stock investments. The customer complaint filed against James Syvertson’s former employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. James Syvertson Red Flags & Your Rights As An Investor Of course, James Syvertson 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 James Syvertson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether James Syvertson 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 James Syvertson If you have questions about Morgan Stanley and/or James Syvertson 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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Mar 8, 2022

Nadine Miller of Morgan Stanley

DID NADINE GROSSBERG MILLER CAUSE YOU INVESTMENT LOSSES? Nadine Miller Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Nadine Miller of Morgan Stanley? Nadine Miller (CRD #2000909) who is currently registered with Morgan Stanley and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Nadine Miller Customer Complaints Nadine Miller has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. All 3 of Nadine Miller’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Nadine Miller 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 that there were securities purchased in his accounts by Nadine Miller without consultation with him. Client alleged Nadine Miller’s unsuitability with respect to closed-end fund investment. The client alleged unsuitable investments by Nadine Miller. Nadine Miller Red Flags & Your Rights As An Investor Of course, Nadine Miller 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 Nadine Miller at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Nadine Miller 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 Nadine Miller If you have questions about Morgan Stanley and/or Nadine Miller 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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Mar 8, 2022

Gregory Pease Formerly With International Assets Advisory

DID GREGORY THORMANN PEASE CAUSE YOU INVESTMENT LOSSES? Gregory Pease Formerly With International Assets Advisory And Wells Fargo Clearing Services Has 10 Customer Complaints For Alleged Broker Misconduct Who is Gregory Pease formerly with International Assets Advisory? Gregory Pease (CRD #2416561) who was formerly registered with International Assets Advisory and located in Hoboken, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, Gregory Pease was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Gregory Pease Customer Complaints Gregory Pease has been the subject of 10 customer complaints that we know about. Six of Gregory Pease’s 10 customer complaints were settled in favor of investors. One of Gregory Pease’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently three pending customer complaints filed against Hayden Royal, International Asset Advisory, Noblebridge Wealth Management, Wells Fargo Clearing Services, and Morgan Stanley Smith Barney, for investment losses caused by Gregory Pease’s alleged misconduct. Allegations Against Gregory Pease A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Authorized third-party alleged Gregory Pease’s amount of trades performed in the disputed managed accounts and the fees associated with them were not consistent with the client’s objectives. Claimant alleged that Gregory Pease churned his account and recommended unsuitable money managers. Claimant claimed breach of fiduciary relationship, negligence, and lack of supervision allegedly by Gregory Pease. Client alleged that Gregory Pease failed to follow investment directives. Client initiated based on advice two annuity redemptions in which no taxes were withheld. Creating unexpected tax liability and increase Medicare premium costs. Client claimed lack of clarity and understanding of the advisory fees being charged on her accounts as result of annuity and account consolidation strategy. Client experienced investment loss in recent Q4 2018 market correction, in which losses occurred. Client stated unsuitable ETF and investment strategy with her tolerance and investor profile allegedly committed by Gregory Pease. Clients made allegations of unsuitability and unauthorized trading by Gregory Pease. Plaintiffs alleged that Gregory Pease did not properly explain the premium payments of an insurance product. The claimants alleged Gregory Pease made unsuitable recommendations. The claimants also alleged Mr. Pease made misrepresentations regarding the risks associated with their accounts. The customer alleged unauthorized transactions and misrepresentation by Gregory Pease. Gregory Pease Red Flags & Your Rights As An Investor Of course, Gregory Pease 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 Gregory Pease at International Assets Advisory and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Gregory Pease has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory and Wells Fargo Clearing Services 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 International Assets Advisory Due To Gregory Pease If you have questions about International Assets Advisory, Wells Fargo Clearing Services, and/or Gregory Pease 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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Mar 8, 2022

Richard Perkins Formerly With Morgan Stanley

DID RICHARD ALDEN PERKINS CAUSE YOU INVESTMENT LOSSES? Richard Perkins Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Richard Perkins formerly with Morgan Stanley? Richard Perkins (CRD #3155348) who was formerly registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Richard Perkins Customer Complaints Richard Perkins has been the subject of 2 customer complaints that we know about. Both of Richard Perkins’ 2 customer complaints were settled in favor of investors for $850,000 and $245,000. Allegations Against Richard Perkins 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 Richard Perkins’ unsuitability, inter alia, with respect to investments in closed-end funds and structured products. Claimant alleged, inter alia, Richard Perkins’ selling away with respect to investments. Richard Perkins Red Flags & Your Rights As An Investor Of course, Richard Perkins 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 Richard Perkins at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Richard Perkins 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 Richard Perkins If you have questions about Morgan Stanley and/or Richard Perkins 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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Mar 8, 2022

Michael Robertson of Morgan Stanley

DID MICHAEL ALAN ROBERTSON CAUSE YOU INVESTMENT LOSSES? Michael Robertson Of Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Michael Robertson of Morgan Stanley? Michael Robertson (CRD #1634076) who is currently registered with Morgan Stanley and located in Greensboro, North Carolina is a subject of one of our many securities industry sales practice abuse investigations. Michael Robertson Customer Complaints Michael Robertson has been the subject of 4 customer complaints that we know about. One of Michael Robertson’s 4 customer complaints was settled in favor of investors. Three of Michael Robertson’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Michael Robertson A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Allegations of Michael Robertson’s excessive buying and selling of securities, unsuitability and unauthorized trades. Client alleged, inter alia, that Michael Robertson’s purchases of two annuities were misrepresented. Client verbally alleged he wanted to sell REIT investments and Michael Robertson recommended against it. REITs subsequently declined in value. The client alleged that he was reassured that a specific manager would be managing his account and that he would not lose money. The client also alleged that Michael Robertson recommended the purchase of the managed account because he could extract more in fees than a mutual fund. Michael Robertson Red Flags & Your Rights As An Investor Of course, Michael Robertson 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 Michael Robertson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Robertson 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 Michael Robertson If you have questions about Morgan Stanley and/or Michael Robertson 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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Mar 8, 2022

Nicholas Rogers of Morgan Stanley

DID NICHOLAS ANTHONY ROGERS CAUSE YOU INVESTMENT LOSSES? Nicholas Rogers Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Nicholas Rogers of Morgan Stanley? Nicholas Rogers (CRD #2509837) who is currently registered with Morgan Stanley and located in Burlingame, California is a subject of one of our many securities industry sales practice abuse investigations. Nicholas Rogers Customer Complaint Nicholas Rogers 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 claimants alleged, inter alia, misrepresentation with respect to recommendation to liquidate investment. The customer complaint filed against Nicholas Rogers’ current employer Morgan Stanley Smith Barney for investment losses caused by the alleged misconduct is pending as of the date of this report. Nicholas Rogers Red Flags & Your Rights As An Investor Of course, Nicholas Rogers 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 Nicholas Rogers at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Nicholas Rogers 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 Nicholas Rogers If you have questions about Morgan Stanley and/or Nicholas Rogers 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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