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DID FRANK BARTHOLOMEW HEMMEN CAUSE YOU INVESTMENT LOSSES?

Frank Hemmen of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Frank Hemmen of Morgan Stanley?

Frank Hemmen (CRD #1342124) who is currently registered with Morgan Stanley and located in Pleasanton, California is a subject of one of our many securities industry sales practice abuse investigations.

Frank Hemmen Customer Complaint

Frank Hemmen has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses.  Both of Frank Hemmen’s 2 customers’ complaints were settled in favor of the investors.

Allegations Against Frank Hemmen

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 that Frank Hemmen sold a municipal bond in her account without her authorization.
  • Client alleged unsuitable investment recommendations and breach of Frank Hemmen’s fiduciary duty, and fraudulent advice concerning a $100,000 investment in a Putnam managed annuity plan.

Frank Hemmen Red Flags & Your Rights As An Investor

Of course, Frank Hemmen 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 Frank Hemmen at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Frank Hemmen 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’ssupervisory 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 Frank Hemmen

If you have questions about Morgan Stanley and/or Frank Hemmen 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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