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.

Continue Reading

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.

Continue Reading

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.

Continue Reading

Mar 4, 2022

Keith Wagner Formerly With J.P. Morgan Securities

DID KEITH JOSEPH WAGNER CAUSE YOU INVESTMENT LOSSES? Keith Wagner Formerly With J.P. Morgan Securities And Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Keith Wagner formerly with J.P. Morgan Securities? Keith Wagner (CRD #6644380) who was formerly registered with J.P. Morgan Securities and located in Dallas, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.P. Morgan Securities, Keith Wagner was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Keith Wagner Customer Complaint Keith Wagner 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 misrepresentation regarding mutual fund investment. Keith Wagner’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Keith Wagner Red Flags & Your Rights As An Investor Of course, Keith Wagner 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 Keith Wagner at J.P. Morgan Securities and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Keith Wagner has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities 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 J.P. Morgan Securities Due To Keith Wagner If you have questions about J.P. Morgan Securities, Morgan Stanley, and/or Keith Wagner 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 4, 2022

Vanessa Xavier of Equitable Advisors

DID VANESSA LIMA XAVIER CAUSE YOU INVESTMENT LOSSES? Vanessa Xavier Of Equitable Advisors And Formerly With Morgan Stanley And Itau International Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Vanessa Xavier of Equitable Advisors? Vanessa Xavier (CRD #5879377) who is currently registered with Equitable Advisors and located in Ft. Lauderdale, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, Vanessa Xavier was associated with Morgan Stanley, Itau International Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Vanessa Xavier Customer Complaint Vanessa Xavier 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 mutual fund investments purchased in their account were unsuitable. Vanessa Xavier’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Vanessa Xavier Red Flags & Your Rights As An Investor Of course, Vanessa Xavier 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 Vanessa Xavier at Equitable Advisors, Morgan Stanley, and Itau International Securities on alert to review carefully the activity and performance of their accounts and question whether Vanessa Xavier has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, Morgan Stanley, and Itau International 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 Equitable Advisors Due To Vanessa Xavier If you have questions about Equitable Advisors, Morgan Stanley, Itau International Securities, and/or Vanessa Xavier 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 4, 2022

Jonathan Rothman of Morgan Stanley

DID JONATHAN DAVID ROTHMAN CAUSE YOU INVESTMENT LOSSES? Jonathan Rothman Of Morgan Stanley And Formerly With Rose & Co. Capital Advisors Has A Customer Complaint For Alleged Broker Misconduct Who is Jonathan Rothman of Morgan Stanley? Jonathan Rothman (CRD #5571493) who is currently registered with Morgan Stanley and located in Warren, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Jonathan Rothman was associated with Rose & Co. Capital Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Jonathan Rothman Customer Complaint Jonathan Rothman 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 he did not authorize a liquidity access line for his account. Alleged damages unspecified. Jonathan Rothman’s customer complaint was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Jonathan Rothman Red Flags & Your Rights As An Investor Of course, Jonathan Rothman 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 Jonathan Rothman at Morgan Stanley and Rose & Co. Capital Advisors on alert to review carefully the activity and performance of their accounts and question whether Jonathan Rothman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and Rose & Co. Capital Advisors 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 Jonathan Rothman If you have questions about Morgan Stanley, Rose & Co. Capital Advisors, and/or Jonathan Rothman 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 4, 2022

Edward Rulison of Morgan Stanley

DID EDWARD DEMET RULISON CAUSE YOU INVESTMENT LOSSES? Edward Rulison Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Edward Rulison of Morgan Stanley? Edward Rulison (CRD #4675587) who is currently registered with Morgan Stanley and located in Syracuse, New York is a subject of one of our many securities industry sales practice abuse investigations. Edward Rulison Customer Complaints Edward Rulison 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 Edward Rulison’s 2 customer complaints was settled in favor of investors. One of Edward Rulison’s customers’ complaints was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Allegations Against Edward Rulison A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Edward Rulison’s unauthorized trading with respect to investment activity in accounts. Clients alleged investments made by Edward Rulison had unsuitable risk and were unauthorized. Edward Rulison Red Flags & Your Rights As An Investor Of course, Edward Rulison 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 Edward Rulison at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Edward Rulison 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 Edward Rulison If you have questions about Morgan Stanley and/or Edward Rulison 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 4, 2022

Jonathan Rynsky of Morgan Stanley

DID JONATHAN ERIK RYNSKY CAUSE YOU INVESTMENT LOSSES? Jonathan Rynsky Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Jonathan Rynsky of Morgan Stanley? Jonathan Rynsky (CRD #4546910) 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. Jonathan Rynsky Customer Complaints Jonathan Rynsky 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 Jonathan Rynsky’s 2 customer complaints was settled in favor of investors. One of Jonathan Rynsky’s customers’ complaints was denied and, to date, the customer has not taken any further action. A broker’s denial of your claim does not mean it was not a valid claim! All brokers have a conflict of interest when it comes to complaints. Call us now for an unbiased evaluation of your claim at 800-732-2889. Allegations Against Jonathan Rynsky A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: The purchase of closed-end fund in account by Jonathan Rynsky was unauthorized. Client alleged an unsuitable recommendation by Jonathan Rynsky relating to the liquidity of an auction rate security. Jonathan Rynsky Red Flags & Your Rights As An Investor Of course, Jonathan Rynsky 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 Jonathan Rynsky at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jonathan Rynsky 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 Jonathan Rynsky If you have questions about Morgan Stanley and/or Jonathan Rynsky 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 4, 2022

Nicholas Sberlati of Morgan Stanley & Co.

DID NICHOLAS SBERLATI CAUSE YOU INVESTMENT LOSSES? Nicholas Sberlati Of Morgan Stanley & Co. And Formerly With Morgan Stanley Has A Customer Complaint For Alleged Broker Misconduct Who is Nicholas Sberlati of Morgan Stanley & Co.? Nicholas Sberlati (CRD #4953286) who is currently registered with Morgan Stanley & Co.and located in Chicago, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley & Co., Nicholas Sberlati was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Nicholas Sberlati Customer Complaint Nicholas Sberlati 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 investment on bonds.  The customer complaint filed against Nicholas Sberlati’s current employer Morgan Stanley & Co. for investment losses caused by the alleged misconduct is pending as of the date of this report. Nicholas Sberlati Red Flags & Your Rights As An Investor Of course, Nicholas Sberlati 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 Sberlati at Morgan Stanley & Co. and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Nicholas Sberlati has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley & Co. 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 Morgan Stanley & Co. Due To Nicholas Sberlati If you have questions about Morgan Stanley & Co., Morgan Stanley, and/or Nicholas Sberlati 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 4, 2022

Preston Schoenfeld of Morgan Stanley

DID PRESTON SCHOENFELD CAUSE YOU INVESTMENT LOSSES? Preston Schoenfeld Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Who is Preston Schoenfeld of Morgan Stanley? Preston Schoenfeld (CRD #4627512) who is currently registered with Morgan Stanley and located in Riverhead, New York is a subject of one of our many securities industry sales practice abuse investigations. Preston Schoenfeld Customer Complaints Preston Schoenfeld 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 Preston Schoenfeld’s 2 customer complaints was settled in favor of investors. There is currently one pending customer complaint filed against MSSB for investment losses caused by Preston Schoenfeld’s alleged misconduct. Allegations Against Preston Schoenfeld 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, inter alia, unsuitability with respect to investments by Preston Schoenfeld. Customer complained that instructions to wire funds were not followed by Preston Schoenfeld. Preston Schoenfeld Red Flags & Your Rights As An Investor Of course, Preston Schoenfeld 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 Preston Schoenfeld at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Preston Schoenfeld 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 Preston Schoenfeld If you have questions about Morgan Stanley and/or Preston Schoenfeld 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