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Carol Brookman Formerly With Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Carol Brookman formerly with Morgan Stanley?

Carol Brookman (CRD #715993) who was formerly registered with Morgan Stanley and located in St. Paul, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. 

Carol Brookman Customer Complaints

Carol Brookman has been the subject of 3 customer complaints that we know about, 1of those complaints was filed in the last year to recover investment losses. One of Carol Brookman’s 3 customer complaints was settled in favor of investors. Two of Carol Brookman’s customer complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Carol Brookman

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

  • Unauthorized trading.
  • Misrepresentations of structured note investments.
  • Unsuitable investment recommendations, failure to diversify, and excessive trading in educational trust accounts.

Carol Brookman Red Flags & Your Rights As An Investor

Of course, Carol Brookman 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 Carol Brookman at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Carol Brookman 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 Carol Brookman

If you have questions about Morgan Stanley and/or Carol Brookman 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.

Author Photo

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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