Category: Morgan Stanley

Did You Lose Money Because of Walter Diaz?

Filed: March 21, 2024

Walter Diaz (also known as Walter Alfredo Leon, Walter Alfredo Leon Diaz, Walter A Leondiaz) has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Walter Alfredo Alfredo León Diaz.

Who Is Walter Alfredo Alfredo León Diaz of Morgan Stanley?

• Advisor Name: Walter Alfredo Alfredo León Diaz
• Aliases: Walter Alfredo Leon, Walter Alfredo Leon Diaz, Walter A Leondiaz
• CRD: 5872460
• Location: Miami, Florida
• Current Employer: Morgan Stanley
• Previous Firms: Citigroup Global Markets Inc. and Citi International Financial Services LLC
• Number of Known Customer Complaints: 1
• Can Walter Diaz Be Sued: Yes, in Private Arbitration
• Can Walter Diaz’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $64,400
• Highest Settlement: Unknown

If you have suffered investment losses by Walter Diaz, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a portfolio mismanagement lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Walter Diaz For Broker Misconduct

As of this publication date, Walter Diaz has been the subject of 1 customer dispute. Let’s review it below.

In October 2022, a complaint was filed against or in reference to Walter Diaz by multiple customers of Citi International Financial Services LLC alleging that the clients had a concentration over 40% of bed bath and beyond 4.915% 08/01/2034 Corp notes in their portfolio and that it was unsuitable. Three lots of 27,000 notional value were purchased considering both accounts during 2018 and were sold on August 2 & 3, 2022. Per the customers, they lost over $64,400 because of Mr. Diaz’s actions.

How To File A Claim Against Walter Diaz of Morgan Stanley (previously with Citigroup Global Markets Inc. and Citi International Financial Services LLC) To Get Your Money Back

If you have questions about Walter Diaz, Morgan Stanley, Citigroup Global Markets Inc., Citi International Financial Services LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Eric Zwilling?

Filed: March 21, 2024

Eric Zwilling has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Eric Joel Zwilling.

Who Is Eric Joel Zwilling of Morgan Stanley?

• Advisor Name: Eric Joel Zwilling
• Aliases: Eric Zwilling
• CRD: 4208417
• Location: Dublin, Ohio
• Current Employer: Morgan Stanley
• Previous Firms: Merrill Lynch, Pierce, Fenner & Smith Incorporated and UBS Financial Services Inc.
• Number of Known Customer Complaints: 1
• Can Eric Zwilling Be Sued: Yes, in Private Arbitration
• Can Eric Zwilling’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Eric Zwilling, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Eric Zwilling For Broker Misconduct

As of this publication date, Eric Zwilling has been the subject of 1 customer dispute. Let’s review it below.

In November 2022, a complaint was filed against or in reference to Eric Zwilling by a customer of Merrill Lynch, Pierce, Fenner & Smith Incorporated alleging misrepresentation of a variable universal life policy in February 2020.

How To File A Claim Against Eric Zwilling of Morgan Stanley (previously with Merrill Lynch, Pierce, Fenner & Smith Incorporated and UBS Financial Services Inc.) To Get Your Money Back

If you have questions about Eric Zwilling, Morgan Stanley, Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Walter Lim?

Filed: March 21, 2024

Walter Lim has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Walter Chaing Lay Lim.

Who Is Walter Chaing Lay Lim of Morgan Stanley?

• Advisor Name: Walter Chaing Lay Lim
• Aliases: Walter Lim
• CRD: 1747688
• Location: San Francisco, California
• Current Employer: Morgan Stanley
• Previous Firms: Citigroup Global Markets Inc. and Lehman Brothers Inc.
• Number of Known Customer Complaints: 2
• Can Walter Lim Be Sued: Yes, in Private Arbitration
• Can Walter Lim’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $673,000
• Highest Settlement: Unknown

If you have suffered investment losses by Walter Lim, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Walter Lim For Broker Misconduct

As of this publication date, Walter Lim has been the subject of 2 customer disputes. Let’s review them below.

In November 2022, a complaint was filed against or in reference to Walter Lim by a customer of Morgan Stanley alleging that covered call strategy implemented in their account was unsuitable 2021-2022. Per the customer, he/she lost over $673,000 because of Mr. Lim’s actions.

In April 2006, a complaint was filed against or in reference to Walter Lim by multiple customers of Citigroup Global Markets Inc. alleging that the management of their accounts was not suitable for their goals.

How To File A Claim Against Walter Lim of Morgan Stanley (previously with Citigroup Global Markets Inc. and Lehman Brothers Inc.) To Get Your Money Back

If you have questions about Walter Lim, Morgan Stanley, Citigroup Global Markets Inc., Lehman Brothers Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Joseph Ganun Jr?

Filed: March 21, 2024

Joseph Ganun Jr has been the subject of three (3) customer complaints and one (1) regulatory event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Joseph Paul Ganun Jr.

Who Is Joseph Paul Ganun Jr of Morgan Stanley?

• Advisor Name: Joseph Paul Ganun Jr
• Aliases: Joseph Ganun Jr
• CRD: 2358305
• Location: Red Bank, New Jersey
• Current Employer: Morgan Stanley
• Previous Firms: Morgan Stanley & Co. Incorporated
• Number of Known Customer Complaints: 3
• Number of Known Regulatory Events: 1
• Can Joseph Ganun Jr Be Sued: Yes, in Private Arbitration
• Can Joseph Ganun Jr’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $116,915
• Highest Settlement: Unknown

If you have suffered investment losses by Joseph Ganun Jr, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Joseph Ganun Jr For Broker Misconduct

As of this publication date, Joseph Ganun Jr has been the subject of 3 customer disputes and 1 regulatory event. Let’s review them below.

In November 2022, a complaint was filed against or in reference to Joseph Ganun Jr by a customer of Morgan Stanley alleging misrepresentation with respect to investments recommended to them for funds they had earmarked for later home purchase 2021.

In January 2009, FINRA initiated a regulatory action against or in reference to Joseph Ganun for drafting and distributing one piece of misleading sales literature to customers.

In December 2005, a complaint was filed against or in reference to Joseph Ganun Jr by a customer of Oppenheimer & Co. Inc. alleging that the client was not made aware of his broker’s decision to purchase a security. Per the customer, he lost over $8,500 because of Mr. Ganun’s actions.

In October 2002, a complaint was filed against or in reference to Joseph Ganun Jr by a customer of Merrill Lynch, Pierce, Fenner & Smith Incorporated alleging that unsuitable investments were made in the customer’s account. Per the customer, he/she lost over $116,915 because of Mr. Ganun’s actions.

How To File A Claim Against Joseph Ganun Jr of Morgan Stanley (previously with Morgan Stanley & Co. Incorporated) To Get Your Money Back

If you have questions about Joseph Ganun Jr, Morgan Stanley, Morgan Stanley & Co. Incorporated, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Frank Seminara?

Filed: March 20, 2024

Frank Seminara has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Frank Peter Seminara.

Who Is Frank Peter Seminara of Morgan Stanley?

• Advisor Name: Frank Peter Seminara
• Aliases: Frank Seminara
• CRD: 2785718
• Location: Palm Beach Gardens, Florida
• Current Employer: Morgan Stanley
• Previous Firms: UBS Financial Services Inc.
• Number of Known Customer Complaints: 1
• Can Frank Seminara Be Sued: Yes, in Private Arbitration
• Can Frank Seminara’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Frank Seminara, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Frank Seminara For Broker Misconduct

As of this publication date, Frank Seminara has been the subject of 1 customer dispute. Let’s review it below.

In October 2022, a complaint was filed against or in reference to Frank Seminara by a customer of Morgan Stanley alleging that the investment in hedge fund was misrepresented 2021.

How To File A Claim Against Frank Seminara of Morgan Stanley (previously with UBS Financial Services Inc.) To Get Your Money Back

If you have questions about Frank Seminara, Morgan Stanley, UBS Financial Services Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Christopher Schofield?

Filed: March 18, 2024

Christopher Schofield (also known as Chris Schofield) has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Christopher S Schofield.

Who Is Christopher S Schofield of Morgan Stanley?

• Advisor Name: Christopher S Schofield
• Aliases: Chris Schofield
• CRD: 2175959
• Location: Colorado Springs, Colorado
• Current Employer: Morgan Stanley
• Previous Firms: Citigroup Global Markets Inc. and A. G. Edwards & Sons, Inc.
• Number of Known Customer Complaints: 3
• Can Christopher Schofield Be Sued: Yes, in Private Arbitration
• Can Christopher Schofield’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $130,000
• Highest Settlement: $75,000

If you have suffered investment losses by Christopher Schofield, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Christopher Schofield For Broker Misconduct

As of this publication date, Christopher Schofield has been the subject of 3 customer disputes. Let’s review them below.

In December 2022, a FINRA arbitration was filed against or in reference to Christopher Schofield by a customer of Morgan Stanley Smith Barney alleging unsuitability with respect to investments and Liquidity Access Line. Per the customer, he/she lost over $130,000 because of Mr. Schofield’s actions. On November 28, 2023, Mr. Schofield settled the claim for $75,000, and some or all of this amount may have been paid by Mr. Schofield’s employer and/or insurance carrier.

In December 2008, a complaint was filed against or in reference to Christopher Schofield by a customer of Citigroup Global Markets Inc. alleging that the purchases of mutual funds in her account were misrepresented.

In June 2004, a complaint was filed against or in reference to Christopher Schofield by a customer of Citigroup Global Markets Inc. alleging unauthorized trading and misrepresentation pertaining to the investments made in the client’s account- 2003-2004. Per the customer, she lost over $15,000 because of Mr. Schofield’s actions.

How To File A Claim Against Christopher Schofield of Morgan Stanley (previously with Citigroup Global Markets Inc. and A. G. Edwards & Sons, Inc.) To Get Your Money Back

If you have questions about Christopher Schofield, Morgan Stanley, Citigroup Global Markets Inc., A. G. Edwards & Sons, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Michael Schmidt?

Filed: March 18, 2024

Michael Schmidt currently has five (5) pending judgment/lien events. Overall, he has been the subject of one (1) customer complaint, one (1) termination event, and five (5) judgment/lien events. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Michael Joseph Schmidt.

Who Is Michael Joseph Schmidt?

• Advisor Name: Michael Joseph Schmidt
• Aliases: Michael Schmidt
• CRD: 2403903
• Location: Milwaukee, Wisconsin
• Current Employer: Currently Not Registered
• Previous Firms: Morgan Stanley and Citigroup Global Markets Inc.
• Number of Known Customer Complaints: 1
• Number of Known Termination Events: 1
• Number of Known Judgment/Lien Events: 5
• Can Michael Schmidt Be Sued: Yes, in Private Arbitration
• Can Michael Schmidt’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: $65,000

If you have suffered investment losses by Michael Schmidt, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Michael Schmidt For Broker Misconduct

As of this publication date, Michael Schmidt has been the subject of 1 customer dispute, 1 termination event, and 5 judgment/lien events. Let’s review them below.

In January 2024, Morgan Stanley terminated Michael Schmidt for allegations regarding activity with respect to a family member’s account, including liquidations and transfers entered by Mr. Schmidt without receiving specific verbal authorization immediately beforehand so as to satisfy family expenses.

In December 2022, a FINRA arbitration was filed against or in reference to Michael Schmidt by a customer of Morgan Stanley Smith Barney alleging forgery and misappropriation of funds from inherited IRA account 2019-2022. On January 11, 2024, Mr. Schmidt settled the claim for $65,000, and some or all of this amount may have been paid by Mr. Schmidt’s employer and/or insurance carrier.

In August 2012, Michael Schmidt was the subject of a civil judgment or lien in the amount of $15,934.80. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In September 2011, Michael Schmidt was the subject of a civil judgment or lien in the amount of $1,735.99. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In November 2007, Michael Schmidt was the subject of a civil judgment or lien in the amount of $30,757.34. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In June 2007, Michael Schmidt was the subject of a civil judgment or lien in the amount of $16,482.79. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In April 2007, Michael Schmidt was the subject of a civil judgment or lien in the amount of $15,774.65. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

How To File A Claim Against Michael Schmidt (previously with Morgan Stanley and Citigroup Global Markets Inc.) To Get Your Money Back

If you have questions about Michael Schmidt, Morgan Stanley, Citigroup Global Markets Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Gianluca De Berardinis?

Filed: March 18, 2024

Gianluca De Berardinis (also known as Gianluca Deberardinis) has been the subject of one (1) regulatory event, one (1) termination event, and three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Gianluca De Berardinis.

Who Is Gianluca De Berardinis?

• Advisor Name: Gianluca De Berardinis
• Aliases: Gianluca Deberardinis
• CRD: 4893776
• Location: New York, New York
• Current Employer: No Longer Allowed to Practice in the Securities Industry
• Previous Firms: Morgan Stanley and Quad Capital, LLC
• Number of Known Customer Complaints: 3
• Number of Known Regulatory Events: 1
• Number of Known Termination Events: 1
• Can Gianluca De Berardinis Be Sued: Yes, in Private Arbitration
• Can Gianluca De Berardinis’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $200,000
• Highest Settlement: $23,820.70

If you have suffered investment losses by Gianluca De Berardinis, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Gianluca De Berardinis For Broker Misconduct

As of this publication date, Gianluca De Berardinis has been the subject of 1 regulatory event, 1 termination event, and 3 customer disputes. Let’s review them below.

In December 2023, FINRA initiated a regulatory action against or in reference to Gianluca De Berardinis for failing to respond to FINRA requests for information.

In August 2023, a complaint was filed against or in reference to Gianluca De Berardinis by a customer of Morgan Stanley alleging that private placement investment unaffiliated with morgan stanley was solicited to client 2020. Per the customer, he/she lost over $200,000 because of Mr. De Berardinis’s actions.

In June 2023, MSWM terminated Gianluca De Berardinis for alleged involvement with offers or sales of a security not approved by the firm and alleged unapproved disbursements from customer’s account.

In June 2023, a complaint was filed against or in reference to Gianluca De Berardinis by a customer of Morgan Stanley alleging that funds had been withdrawn from her account without her authorization from December 2022 to February 2023. On August 17, 2023, Mr. De Berardinis settled the claim for $23,820.70, and some or all of this amount may have been paid by Mr. De Berardinis’s employer and/or insurance carrier.

In December 2022, a complaint was filed against or in reference to Gianluca De Berardinis by a customer of Morgan Stanley alleging that the risk to his principal was misrepresented in purchase of structured product 2022 damages unspecified.

How To File A Claim Against Gianluca De Berardinis (previously with Morgan Stanley and Quad Capital, LLC) To Get Your Money Back

If you have questions about Gianluca De Berardinis, Morgan Stanley, Quad Capital, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Sean Righter?

Filed: March 13, 2024

Sean Righter currently has two (2) pending customer complaints. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Sean P Righter.

Who Is Sean P Righter of Morgan Stanley?

• Advisor Name: Sean P Righter
• Aliases: Sean Righter
• CRD: 5419832
• Location: Irvine, California
• Current Employer: Morgan Stanley
• Previous Firms: Citigroup Global Markets Inc.
• Number of Known Customer Complaints: 2
• Can Sean Righter Be Sued: Yes, in Private Arbitration
• Can Sean Righter’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: Unknown

If you have suffered investment losses by Sean Righter, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a churning lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Sean Righter For Broker Misconduct

As of this publication date, Sean Righter has been the subject of 2 customer disputes. Let’s review them below.

In August 2023, a FINRA arbitration was filed against or in reference to Sean Righter by a customer of Morgan Stanley Smith Barney alleging that the investments strategy executed in the clients’ account were unsuitable. As of this publication date, this claim remains pending.

In March 2023, a FINRA arbitration was filed against or in reference to Sean Righter by a customer of Morgan Stanley alleging unsuitability with respect to investments in accounts. As of this publication date, this claim remains pending.

How To File A Claim Against Sean Righter of Morgan Stanley (previously with Citigroup Global Markets Inc.) To Get Your Money Back

If you have questions about Sean Righter, Morgan Stanley, Citigroup Global Markets Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of James Monken?

Filed: March 13, 2024

James Monken (also known as Jimmy Monken) currently has two (2) pending customer complaints. Overall, he has been the subject of two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on James Eric Monken.

Who Is James Eric Monken of Morgan Stanley?

• Advisor Name: James Eric Monken
• Aliases: Jimmy Monken
• CRD: 5765921
• Location: Clayton, Missouri
• Current Employer: Morgan Stanley
• Previous Firms: Morgan Keegan & Company, Inc.
• Number of Known Customer Complaints: 2
• Can James Monken Be Sued: Yes, in Private Arbitration
• Can James Monken’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $750,000
• Highest Settlement: Unknown

If you have suffered investment losses by James Monken, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a churning lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against James Monken For Broker Misconduct

As of this publication date, James Monken has been the subject of 2 customer disputes. Let’s review them below.

In September 2023, a FINRA arbitration was filed against or in reference to James Monken by a customer of Morgan Stanley Smith Barney alleging that the trading strategy implemented in the client’s account was not in her best interest 2020-2022. Per the customer, she lost over $750,000 because of Mr. Monken’s actions. As of this publication date, this claim remains pending.

In July 2023, a FINRA arbitration was filed against or in reference to James Monken by multiple customers of Morgan Stanley Smith Barney alleging misrepresentation with respect to investments in managed accounts 2021-2022. As of this publication date, this claim remains pending.

How To File A Claim Against James Monken of Morgan Stanley (previously with Morgan Keegan & Company, Inc.) To Get Your Money Back

If you have questions about James Monken, Morgan Stanley, Morgan Keegan & Company, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.