Mar 8, 2022

Bradley Rubin of UBS Financial Services

DID BRADLEY JAY RUBIN CAUSE YOU INVESTMENT LOSSES? Bradley Rubin Of UBS Financial Services And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Bradley Rubin of UBS Financial Services? Bradley Rubin (CRD #3124047) who is currently registered with UBS Financial Services and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to UBS Financial Services, Bradley Rubin was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Bradley Rubin Customer Complaint Bradley Rubin 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 unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy. The customer complaint filed against Bradley Rubin’s current employer UBS Financial Services for investment losses caused by the alleged misconduct is pending as of the date of this report. Bradley Rubin Red Flags & Your Rights As An Investor Of course, Bradley Rubin 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 Bradley Rubin at UBS Financial Services and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Bradley Rubin 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 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 UBS Financial Services Due To Bradley Rubin If you have questions about UBS Financial Services, Morgan Stanley, and/or Bradley Rubin 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

Robert Scarborough of Morgan Stanley

DID ROBERT C. SCARBOROUGH CAUSE YOU INVESTMENT LOSSES? Robert Scarborough Of Morgan Stanley And Formerly With Merrill Lynch Pierce Fenner & Smith Has A Customer Complaint For Alleged Broker Misconduct Who is Robert Scarborough of Morgan Stanley? Robert Scarborough (CRD #4300571) who is currently registered with Morgan Stanley and located in West Palm Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Robert Scarborough was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Scarborough Customer Complaint Robert Scarborough has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were that the purchase of a structured product in her account was unsuitable. Robert Scarborough’s customer complaint was denied and, to date, the customer has not taken any further action. Robert Scarborough Red Flags & Your Rights As An Investor Of course, Robert Scarborough 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 Scarborough at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether Robert Scarborough has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith 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 Robert Scarborough If you have questions about Morgan Stanley, Merrill Lynch Pierce Fenner & Smith, and/or Robert Scarborough 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 Smith of Morgan Stanley

DID DANIEL RICHARD SMITH CAUSE YOU INVESTMENT LOSSES? Daniel Smith Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct Who is Daniel Smith of Morgan Stanley? Daniel Smith (CRD #3053940) who is currently registered with Morgan Stanley and located in Sarasota, Florida is a subject of one of our many securities industry sales practice abuse investigations. Daniel Smith Customer Complaints Daniel Smith 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. One of Daniel Smith’s 3 customer complaints was settled in favor of investors. One of Daniel Smith’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Daniel Smith’s alleged misconduct. Allegations Against Daniel Smith 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, Daniel Smith’s unsuitable investment recommendations with respect to alternate investments. Client alleged that “high risk funds were something that I could not, and would not accept.” She went on to allege that her “entire account has been invested in very high risk, speculative funds” by Daniel Smith. Claimant alleged that Daniel Smith assured him that his investment in Lehman Brothers Structured Notes would be safe and secure, and further alleged that the Lehman Brothers Structured Notes he purchased were misrepresented and unsuitable, and that the risk of loss of principal was not properly disclosed to him. Daniel Smith Red Flags & Your Rights As An Investor Of course, Daniel 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 Daniel Smith at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Daniel 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 Daniel Smith If you have questions about Morgan Stanley and/or Daniel 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

Herbert Smith of Morgan Stanley

DID HERBERT K. SMITH CAUSE YOU INVESTMENT LOSSES? Herbert Smith Of Morgan Stanley And Formerly With Discern Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Herbert Smith of Morgan Stanley? Herbert Smith (CRD #2914032) 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. Prior to Morgan Stanley, Herbert Smith was associated with Discern Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Herbert Smith Customer Complaint Herbert Smith has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were unauthorized trading. Herbert Smith’s customer complaint was denied and, to date, the customer has not taken any further action. Herbert Smith Red Flags & Your Rights As An Investor Of course, Herbert 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 Herbert Smith at Morgan Stanley and Discern Securities on alert to review carefully the activity and performance of their accounts and question whether Herbert Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Discern Securities 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 Herbert Smith If you have questions about Morgan Stanley, Discern Securities, and/or Herbert 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

James Sophia of Morgan Stanley

DID JAMES RICHARD SOPHIA JR CAUSE YOU INVESTMENT LOSSES? James Sophia Of Morgan Stanley And Formerly With Merrill Lynch Pierce Fenner & Smith Has 4 Customer Complaints For Alleged Broker Misconduct Who is James Sophia of Morgan Stanley? James Sophia (CRD #3222645) who is currently registered with Morgan Stanley and located in Pepper Pike, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, James Sophia was associated with Merrill Lynch Pierce Fenner & Smith and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Sophia Customer Complaints James Sophia has been the subject of 4 customer complaints that we know about. One of James Sophia’s 4 customer complaints was settled in favor of investors. Two of James Sophia’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against Merrill Lynch Pierce Fenner & Smith for investment losses caused by James Sophia’s alleged misconduct. Allegations Against James Sophia 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 he was not advised correctly by James Sophia about fees connected with his B Share Mutual Funds and, because of that, he allegedly had to pay $9,000 too much in fees when he sold his shares. The customer alleged James Sophia’s failure to follow instructions. The customer alleged misrepresentations and unsuitable investment recommendations by James Sophia. The customer alleged unauthorized trading by James Sophia. James Sophia Red Flags & Your Rights As An Investor Of course, James Sophia 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 Sophia at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether James Sophia has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Merrill Lynch Pierce Fenner & Smith 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 James Sophia If you have questions about Morgan Stanley, Merrill Lynch Pierce Fenner & Smith, and/or James Sophia 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

Sue Van Der Linden of Morgan Stanley

DID SUE VAN DER LINDEN CAUSE YOU INVESTMENT LOSSES? Sue Van Der Linden Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Sue Van Der Linden of Morgan Stanley? Sue Van Der Linden (CRD #2543324) who is currently registered with Morgan Stanley and located in Washington, District of Columbia is a subject of one of our many securities industry sales practice abuse investigations. Sue Van Der Linden Customer Complaints Sue Van Der Linden 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 Sue Van Der Linden’s 2 customer complaints was settled in favor of investors. One of Sue Van Der Linden’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Sue Van Der Linden 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 that Sue Van Der Linden failed to follow the claimant’s instructions to request a step up of her Hartford annuity. Client attorney alleged Sue Van Der Linden’s failure to follow instructions with respect to managed account. Sue Van Der Linden Red Flags & Your Rights As An Investor Of course, Sue Van Der Linden 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 Sue Van Der Linden at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Sue Van Der Linden 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 Sue Van Der Linden If you have questions about Morgan Stanley and/or Sue Van Der Linden 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

Brian Lindsay of Morgan Stanley

DID BRIAN ALEXANDER LINDSAY CAUSE YOU INVESTMENT LOSSES? Brian Lindsay Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Brian Lindsay of Morgan Stanley? Brian Lindsay (CRD #4210571) who is currently registered with Morgan Stanley and located in Rockford, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Brian Lindsay Customer Complaint Brian Lindsay 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 client alleged that he gave instructions to reallocate his account and his instructions were not followed. Brian Lindsay’s customer complaint was settled in favor of the investors. Brian Lindsay Red Flags & Your Rights As An Investor Of course, Brian Lindsay 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 Lindsay at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Brian Lindsay 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 Brian Lindsay If you have questions about Morgan Stanley and/or Brian Lindsay 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

Robert Mitchell of Stifel, Nicolaus & Company

DID ROBERT LYNN MITCHELL CAUSE YOU INVESTMENT LOSSES? Robert Mitchell Of Stifel, Nicolaus & Company And Formerly With Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Robert Mitchell of Stifel, Nicolaus & Company? Robert Mitchell (CRD #1523211) who is currently registered with Stifel, Nicolaus & Company and located in Frisco, Texas is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Stifel, Nicolaus & Company, Robert Mitchell was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Mitchell Customer Complaints Robert Mitchell has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Robert Mitchell’s 4 customer complaints was settled in favor of investors. Three of Robert Mitchell’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Robert Mitchell 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, Robert Mitchell solicited outside investment opportunities not authorized by firm. Claimant alleged, inter alia, that Robert Mitchell’s recommendation to liquidate municipal bonds in account and purchase a variable annuity was unsuitable. Client alleged losses in connection with the purchases of four bonds allegedly made by Robert Mitchell and that they were unsuitable. Clients alleged Robert Mitchell’s failure to follow instructions with respect to investment guidelines. Robert Mitchell Red Flags & Your Rights As An Investor Of course, Robert Mitchell 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 Mitchell at Stifel, Nicolaus & Company and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Robert Mitchell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company 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 Stifel, Nicolaus & Company Due To Robert Mitchell If you have questions about Stifel, Nicolaus & Company, Morgan Stanley, and/or Robert Mitchell 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

Hemant Naran Formerly With Morgan Stanley

DID HEMANT MANUBHAI NARAN CAUSE YOU INVESTMENT LOSSES? Hemant Naran Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Hemant Naran formerly with Morgan Stanley? Hemant Naran (CRD #3086718) who was formerly registered with Morgan Stanley and located in Athens, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Hemant Naran Customer Complaint Hemant Naran has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were client alleges, inter alia, failure to follow instructions with respect to investment guidelines. Hemant Naran’s customer complaint was settled in favor of the investors. Hemant Naran Red Flags & Your Rights As An Investor Of course, Hemant Naran 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 Hemant Naran at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Hemant Naran 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 Hemant Naran If you have questions about Morgan Stanley and/or Hemant Naran 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 New of BMO Harris Financial Advisors

DID JEREMY CHARLES NEWTON CAUSE YOU INVESTMENT LOSSES? Jeremy Newton Of Merrill Lynch Pierce Fenner & Smith, And Formerly With Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jeremy Newton of Merrill Lynch Pierce Fenner & Smith? Jeremy Newton (CRD #4206456) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Jeremy Newton was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jeremy Newton Customer Complaints Jeremy Newton 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. Both of Jeremy Newton’s customers’ complaints were denied and, to date, the customers did not take any further action. Allegations Against Jeremy Newton A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customers alleged that Jeremy Newton did not keep them informed of the liquidity issues regarding auction rate securities and that financial advisor represented that an investment in auction rate securities was liquid. The customer alleged Jeremy Newton’s misrepresentations and failure to follow instructions. Jeremy Newton Red Flags & Your Rights As An Investor Of course, Jeremy Newton 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 Jeremy Newton at Merrill Lynch Pierce Fenner & Smith and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jeremy Newton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith 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 Merrill Lynch Pierce Fenner & Smith Due To Jeremy Newton If you have questions about Merrill Lynch Pierce Fenner & Smith, Morgan Stanley and/or Jeremy Newton 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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