Mar 7, 2022

Jeffrey Johnson formerly with Morgan Stanley

DID JEFFREY MICHAEL JOHNSON CAUSE YOU INVESTMENT LOSSES? Jeffrey Johnson Formerly With Morgan Stanley Has 4 Customer Complaints For Alleged Broker Misconduct Who is Jeffrey Johnson formerly with Morgan Stanley? Jeffrey Johnson (CRD #5522469) who was formerly registered with Morgan Stanley and located in Birmingham, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Johnson has been the subject of at least 2 FINRA investigations, 1 of the investigations related to the nonpayment of arbitration award entered against him.  The other investigation related to his alleged participation in an outside business activity in private securities transaction that receiving approval from the firm.  Without admitting or denying the allegations, Jeffrey Johnson consented to a seven-month suspension and $10,000 fine. Jeffrey Johnson Customer Complaints Jeffrey Johnson has been the subject of 4 customer complaints that we know about. One arbitration award was entered against Raymond James Associates for Jeffrey Johnson’s alleged misconduct causing investors losses. Three of Jeffrey Johnson’s 4 customer complaints were settled in favor of investors. Allegations Against Jeffrey Johnson 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: Jeffrey Johnson’s unsuitability, breach of fiduciary duty, common law fraud/innocent misrepresentation, negligence, violations of the Michigan Uniform Securities Act, breach of contract. Claimants alleged, inter alia, unsuitability with respect to the recommendation to surrender variable annuities by Jeffrey Johnson. Client verbally alleged, inter alia, Jeffrey Johnson’s failure to follow instructions with respect to risk tolerance. Claimant alleged: Suitability, Negligence, Breach of Fiduciary Duty, Securities Fraud, Misrepresentations and Omissions of Material Facts, Violations of Michigan Uniform Securities Act 410(a) by Jeffrey Johnson. Jeffrey Johnson Red Flags & Your Rights As An Investor Of course, Jeffrey Johnson 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 Jeffrey Johnson at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Johnson 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 Jeffrey Johnson If you have questions about Morgan Stanley and/or Jeffrey Johnson 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 4, 2022

Richard Gregory George of Morgan Stanley

DID RICHARD GREGORY GEORGE CAUSE YOU INVESTMENT LOSSES? Richard G. George Formerly With Morgan Stanley Has 7 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Richard G. George Formerly With Morgan Stanley? Richard George (CRD # 1890200) who was formerly registered with Morgan Stanley and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations.  Before Morgan Stanley, Richard George was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Richard George has been the subject of 7 customer complaints that we know about, 6 of those complaints were filed in the last year to recover investment losses. Five of Richard George’s customer complaints were settled in favor of investors.  Richard George claims several of the complaints related to prior financial advisors’ recommendations.  There are currently 2 pending customer complaints filed against Richard George’s current employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Richard G. George A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege unsuitability with respect to investments in a fee-based account. The claimant alleges that the advisor made unsuitable investment recommendations and over-concentrated her account and unsuitable investments. Richard G. George Red Flags & Your Rights As An Investor Of course, Richard George 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 George at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Richard George 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 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 If you have questions about Morgan Stanley and/or Richard George 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 4, 2022

Gerardo Latimer-Janer of Morgan Stanley

DID GERARDO JOSE LATIMER-JANER CAUSE YOU INVESTMENT LOSSES? Gerardo Jose Latimer-Janer formerly with Morgan Stanley Has 8 Customer Complaints for Alleged Broker Misconduct Who is Gerardo J. Latimer-Janer formerly with Morgan Stanley? Gerardo Latimer-Janer (CRD #2491626) who was formerly registered with Morgan Stanley and located in Fort Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Gerardo Latimer-Janer was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Gerardo Latimer-Janer has been the subject of 8 customer complaints that we know about. Two of Gerardo Latimer-Janer’s 8 customer complaints were settled in favor of investors. There are currently 6 pending customer complaints filed against Gerardo Latimer-Janer’s former employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Gerardo Latimer-Janer A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants allege unsuitability, misrepresentation, and overconcentration in Puerto Rico municipal bonds and also alleges unsuitable recommendation to hold those bonds. The claimant alleges unsuitability, misrepresentation, and overconcentration in Puerto Rico municipal bonds. Claimants alleged misrepresentations, unsuitability, and overconcentration concerning their investments in Puerto Rico municipal bonds, closed-end funds, and preferred stocks. The claimant alleges its investments in Puerto Rico municipal bonds were unsuitable, over-concentrated, and misrepresented as safe investments. Gerardo Latimer-Janer Red Flags & Your Rights as An Investor Of course, Gerardo Latimer-Janer did not admit to any of the allegations.  In fact, he claims he was not even a financial advisor.  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 that should put all current and former customers of Gerardo Latimer-Janer at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Gerardo Latimer-Janer has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Morgan Stanley also raises questions about 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 If you have questions about Morgan Stanley and/or Gerardo Latimer-Janer 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 4, 2022

Robert David Jr. of Morgan Stanley

DID ROBERT C. DAVID JR. CAUSE YOU INVESTMENT LOSSES? Robert C. David Jr.  formerly with Morgan Stanley Has 5 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Robert C. David Jr. formerly with Morgan Stanley? Robert David (CRD #5211223) who was formerly registered with Morgan Stanley and located in Farmington Hills, Michigan is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Morgan Stanley, Robert David was associated with and one other investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Robert David 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. Three of Robert David’s 5 customer complaints were settled in favor of investors. There are currently 3 pending customer complaints filed against Robert David’s former employer Morgan Stanley for investment losses caused by his alleged misconduct. In 2019, Robert David was terminated at Morgan Stanly for allegedly entering inaccurate client profile information relative to a bond transaction and concerns that some of those transactions were not confirmed immediately beforehand. Allegations Against Robert David A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client alleged unsuitability with respect to investments. The client alleged failure to follow instructions with respect to investments made in his managed account. The client alleged misrepresentation with respect to corporate bond investments. Robert David Red Flags & Your Rights as An Investor Of course, Robert David 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 David at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Robert David has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Morgan Stanley also raises questions about 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 If you have questions about Morgan Stanley and/or Robert David 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 4, 2022

Michael Paesano of Morgan Stanley

DID MICHAEL FRANK PAESANO CAUSE YOU INVESTMENT LOSSES? Michael Frank Paesano formerly with Morgan Stanley Has 24 Customer Complaints For Alleged Broker Misconduct Who is Michael F. Paesano Formerly with Morgan Stanley? Michael Paesano (CRD #1557229) 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. Prior to Morgan Stanley, Michael Paesano was associated with 11 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Michael Paesanohas been the subject of 24 customer complaints that we know about to recover investment losses. Fifteen of Michael Paesano’s 24 customer complaints were settled in favor of investors. Five customer complaints were denied by his former employer and to date the customers have not taking any further action. There are currently 4 pending customer complaints filed against Michael Paesano’s former employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Michael Paesano A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Client alleges excessive trading, mismanagement of the account for terms of a written agreement, and alleges failure to notify him of changes in the trading strategy was tantamount to fraud. Claimants alleged being defrauded through outside business investments. Claimants alleged excessive trading with respect to transactions in the account. Client alleges excessive trading and selling away. Client alleges unsuitability respect to closed-end fund and structured product investments. Claimant alleges securities fraud, common law fraud, misrepresentation, breach of fiduciary duty, breach of contract, and failure to disclose material conflicts of interest, negligence, failure to supervise relating to principal protected note. Michael Paesano Red Flags & Your Rights As An Investor Of course, Michael Paesano 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 Paesano at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Michael Paesano 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 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 If you have questions about Morgan Stanley and/or Michael Paesano 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 4, 2022

John Bankhead of Morgan Stanley

DID JOHN MATTHEW BANKHEAD CAUSE YOU INVESTMENT LOSSES? John Matthew Bankhead with Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year Who is John M. Bankhead with Morgan Stanley? John Bankhead (CRD #2129638) who is currently registered with Morgan Stanley and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, John Bankhead was associated with UBS Financial Services Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, John Bankhead has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of John Bankhead’s 5 customer complaints were settled in favor of investors. Two customer complaints were denied by his former employer and the customers took no further action. Allegations Against John Bankhead A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Three clients alleged that the financial advisor omitted disclosures on their 10b5-1 plans. UBS Financial Services, Inc., settled those cases for $127,346; $204,081; and $65,571. Financial advisor contends he did nothing wrong and that the trading desk was responsible for the errors.  The client alleged a financial advisor placement and unsuitable annuity investment. Client alleged financial consultant failed to follow instructions with regard to investment allocation. John Bankhead Red Flags & Your Rights As An Investor Of course, John Bankhead 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 John Bankhead at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether John Bankhead has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about John Bankhead at UBS Financial Services Inc. also raises questions about their 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 If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or John Bankhead 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 4, 2022

Kirk Gill of Taylor Capital Management, Inc

DID KIRK J. GILL CAUSE YOU INVESTMENT LOSSES? Kirk J. Gill formerly with Taylor Capital Management, Inc., 1st Financial Equity Corporation, And Morgan Stanley Has 17 Customer Complaints for Alleged Broker Misconduct Who is Kirk J. Gill formerly with Taylor Capital Management, Inc., First Financial Equity Corporation, and Morgan Stanley? Kirk Gill (CRD #2291503) who was formerly registered with Taylor Capital Management Inc. and located in Tucson, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Taylor Capital Management, Inc., Kirk Gill was associated with First Financial Equity Corporation and Morgan Stanley, and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. After numerous complaints were filed, one of his former employers, 1st Financial Equity Corporation had concerns regarding his alleged in sales practice misconduct and decided he needed an enhanced heightened supervision plan. Instead of agreeing to the plan, Kirk Gill resigned and his employment was terminated at that firm. Kirk Gill’s employment at Taylor Capital Management, Inc. did not last very long as well. He is no longer employed in the securities industry. Taylor Capital Management, Inc. Broker Misconduct In his career, Kirk Gill has been the subject of 17 customer complaints that we know about, 4 of those complaints were filed in the last two years to recover investment losses. All of those complaints were filed against Kirk Gill in connection with his past employment at Morgan Stanley. Thirteen of Kirk Gill’s 17 customer complaints were settled in favor of investors. Three of those complaints were denied by Morgan Stanley and the customers to no further action.  There is currently one pending customer complaint filed against Kirk Gill’s former employer Morgan Stanley for investment losses caused by his alleged misconduct. Allegations Against Kirk Gill A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimants alleged unsuitable investment recommendations in connection with common and preferred stock transactions. Claimants alleged unsuitable energy stock investment recommendations. The client complained about and over-concentration in oil stocks. Claimant alleged unsuitable recommendations of direct investments in private placements and limited partnership interests. Claimant alleged unsuitable investment recommendations in exchange-traded funds. The claimant alleges that the financial advisor made unsuitable recommendations that resulted in the over-concentration of her investments and high-risk equities. Kirk Gill Red Flags & Your Rights as An Investor Of course, Kirk Gilldid does 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 Kirk Gill at Taylor Capital Management, Inc., First Financial Equity Corporation and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Kirk Gill has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Morgan Stanley about Kirk Gill also raises questions about its 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 Taylor Capital Management Inc. If you have questions about Taylor Capital Management Inc., First Financial Equity Corporation, Morgan Stanley and/or Kirk Gill 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 4, 2022

Jeffrey Goodstein of Morgan Stanley

DID JEFFREY ALAN GOODSTEIN CAUSE YOU INVESTMENT LOSSES? Jeffrey Alan Goodstein with Morgan Stanley Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Jeffrey A. Goodstein with Morgan Stanley? Jeffrey Goodstein (CRD # 4536646) who is currently registered with Morgan Stanley and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Jeffrey Goodstein was associated with UBS Financial Services Inc. and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems. Morgan Stanley Broker Misconduct In his career, Jeffrey Goodstein has been the subject of the 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of Jeffrey Goodstein’s customer complaints arose in connection with his employment at UBS Financial Services, Inc. in that brokerage firm settled all of those complaints in favor of investors. Allegations Against Jeffrey Goodstein The allegations made in the FINRA reported arbitration claim settlements for investment losses for the same in all 3 customer complaints and that is Jeffrey Goodstein omitted certain disclosures connection with a 10 b5-1 plan. A 10 b5-1 plan is a method by which certain insiders may sell securities not be subject to certain violations of the law related to insider-trading or 10 b-16 violations. Jeffrey Goodstein blamed the trading desk for the 3 complaints, but apparently UBS Financial Services, Inc. decided that was not the case to report the violations on his record. Jeffrey Goodstein Red Flags & Your Rights as An Investor Of course, Jeffrey Goodstein did does 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 that should put all current and former customers of Jeffrey Goodsteinat Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Goodsteinhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at UBS Financial Services Inc. also raises questions about 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 And UBS Financial Services, Inc. If you have questions about Morgan Stanley and UBS Financial Services, Inc. and/or Jeffrey Goodsteinand 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 4, 2022

Thomas Tonkovich of Morgan Stanley

DID THOMAS LEE TONKOVICH CAUSE YOU INVESTMENT LOSSES? Thomas Tonkovich Of Morgan Stanley And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct Who is Thomas Tonkovich of Morgan Stanley? Thomas Tonkovich (CRD #5256792) who is currently registered with Morgan Stanley and located in Sea Girt, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Thomas Tonkovich 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. Thomas Tonkovich Customer Complaint Thomas Tonkovich 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 Thomas Lee Tonkovich was a subject of the customer’s complaint against his member firm that asserted the following causes of action: respondeat superior, suitability, and negligence. The causes of action relate to an investment account and an IRA account. An arbitration award was entered against Wells Fargo Clearing Services for the alleged misconduct causing investors losses. Thomas Tonkovich Red Flags & Your Rights As An Investor Of course, Thomas Tonkovich 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 Tonkovich at Morgan Stanley and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Tonkovich has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Wells Fargo Clearing Services 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 Thomas Tonkovich If you have questions about Morgan Stanley, Wells Fargo Clearing Services, and/or Thomas Tonkovich 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 4, 2022

Nicolas Ulvert of Morgan Stanley

DID NICOLAS CHARLES ULVERT CAUSE YOU INVESTMENT LOSSES? Nicolas Ulvert Of Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Nicolas Ulvert of Morgan Stanley? Nicolas Ulvert (CRD #5156315) who is currently registered with Morgan Stanley and located in Potomac, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Nicolas Ulvert Customer Complaint Nicolas Ulvert 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 they did not authorize the sale of their stock. Damages unspecified. Nicolas Ulvert’s customer complaint was settled in favor of the investors. Nicolas Ulvert Red Flags & Your Rights As An Investor Of course, Nicolas Ulvert 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 Nicolas Ulvert at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Nicolas Ulvert 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 Nicolas Ulvert If you have questions about Morgan Stanley and/or Nicolas Ulvert 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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