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Howard Smith Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Howard Smith of Morgan Stanley?

Howard Smith (CRD #2703964) who is currently registered with Morgan Stanley and located in Santa Barbara, California is a subject of one of our many securities industry sales practice abuse investigations.

Howard Smith Customer Complaints

Howard Smith 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 Howard Smith’s 2 customer complaints was settled in favor of investors. One of Howard Smith’s customer complaints was denied and, to date, the customer has not taken any further action.

Allegations Against Howard Smith

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 his instructions to keep a cash balance in his account were not followed by Howard Smith and that it was invested in the market causing him to incur losses. 2020.
  • It is claimed, inter alia, that the funds in customer’s accounts were mishandled, resulting in losses, allegedly by Howard Smith.

Howard Smith Red Flags & Your Rights As An Investor

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

If you have questions about Morgan Stanley and/or Howard Smith 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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