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Amir Navab Formerly With RBC Capital Markets, LLC And Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Amir Navab formerly with RBC Capital Markets, LLC?

Amir Navab (CRD #2437020) who was formerly registered with RBC Capital Markets, LLC and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets, LLC, Amir Navab was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Amir Navab Customer Complaints

Amir Navab has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Amir Navab’s 5 customer complaints were settled in favor of investors. One of Amir Navab’s customer complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Amir Navab

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unsuitable investment recommendations related to a structured product investment.
  • Misrepresentations, omissions, fraud, negligence, breach of fiduciary duty, breach of contract and unsuitable recommendations to invest in Lehman Brothers structured products.
  • Unsuitable investment recommendations of auction rate securities.
  • Negligence, unsuitable investment recommendations, breach of fiduciary duty, fraud, misrepresentation, churning, over-concentration and unauthorized trading.

Amir Navab Red Flags & Your Rights As An Investor

Of course, Amir Navab 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 Amir Navab at RBC Capital Markets, LLC and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Amir Navab has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC 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 RBC Capital Markets, LLC Due To Amir Navab

If you have questions about RBC Capital Markets, LLC, Morgan Stanley and/or Amir Navab 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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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