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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

Mar 8, 2022

Manuel Ojeda of Morgan Stanley

DID MANUEL L. OJEDA CAUSE YOU INVESTMENT LOSSES? Manuel Ojeda Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Manuel Ojeda of Morgan Stanley? Manuel Ojeda (CRD #2136032) who is currently registered with Morgan Stanley and located in Menlo Park, California is a subject of one of our many securities industry sales practice abuse investigations. Manuel Ojeda Customer Complaint Manuel Ojeda 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 misrepresentation with respect to hedge fund investment. Manuel Ojeda’s customer complaint was denied and, to date, the customer has not taken any further action. Manuel Ojeda Red Flags & Your Rights As An Investor Of course, Manuel Ojeda 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 Manuel Ojeda at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Manuel Ojeda 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 Manuel Ojeda If you have questions about Morgan Stanley and/or Manuel Ojeda 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 8, 2022

Robert Mazur of CUNA Brokerage Services

DID ROBERT ANDREW MAZUR JR CAUSE YOU INVESTMENT LOSSES? Robert Mazur Of CUNA Brokerage Services And Formerly With Morgan Stanley And SunTrust Investment Services Has 2 Customer Complaints For Alleged Broker Misconduct Who is Robert Mazur of CUNA Brokerage Services? Robert Mazur (CRD #2344540) who is currently registered with CUNA Brokerage Services and located in Clermont, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to CUNA Brokerage Services, Robert Mazur was associated with Morgan Stanley, SunTrust Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Robert Mazur Customer Complaints Robert Mazur 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 Robert Mazur’s 2 customer complaints was settled in favor of investors. One of Robert Mazur’s customers’ complaints was denied and, to date, the customer has not taken any further action. Allegations Against Robert Mazur A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client stated in credit union survey Robert Mazur allegedly did not follow through on what she asked him to complete. She stated that when investments started to show a decline, she requested money to be moved into her savings account at the credit union. She was unhappy with a $31k loss and not having control of her funds. She was also unhappy that her monthly distribution of $802 has not been deposited into her credit union account yet (she expected it 7/26/2020). Client verbally alleged, inter alia, that Robert Mazur’s investment transactions in her account were not authorized. Robert Mazur Red Flags & Your Rights As An Investor Of course, Robert Mazur 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 Mazur at CUNA Brokerage Services, Morgan Stanley, and SunTrust Investment Services on alert to review carefully the activity and performance of their accounts and question whether Robert Mazur has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at CUNA Brokerage Services, Morgan Stanley, and SunTrust Investment 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 CUNA Brokerage Services Due To Robert Mazur If you have questions about CUNA Brokerage Services, Morgan Stanley, SunTrust Investment Services, and/or Robert Mazur 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 8, 2022

Thomas McDavid of Rockefeller Financial

DID THOMAS ANDREW MCDAVID CAUSE YOU INVESTMENT LOSSES? Thomas McDavid Of Rockefeller Financial And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas McDavid of Rockefeller Financial? Thomas McDavid (CRD #3174259) who is currently registered with Rockefeller Financial and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Rockefeller Financial, Thomas McDavid was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Thomas McDavid Customer Complaint Thomas McDavid 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, inter alia, that option strategy recommended by Thomas McDavid was unsuitable and misrepresented. The customer complaint filed against Thomas McDavid’s current employer Morgan Stanley for investment losses caused by the alleged misconduct is pending as of the date of this report. Thomas McDavid Red Flags & Your Rights As An Investor Of course, Thomas McDavid 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 Thomas McDavid at Rockefeller Financial and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Thomas McDavid has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Rockefeller Financial 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 Rockefeller Financial Due To Thomas McDavid If you have questions about Rockefeller Financial, Morgan Stanley, and/or Thomas McDavid 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