| Read Time: 2 minutes | Morgan Stanley Complaints | UBS Financial Services Complaints |


James Small Of Morgan Stanley And Formerly With UBS Financial Services Has 3 Customer Complaints For Alleged Broker Misconduct

Who is James Small of Morgan Stanley?

James Small (CRD #1148738) who is currently registered with Morgan Stanley and located in Philadelphia, Pennsylvania is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, James Small was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

James Small Customer Complaints

James Small has been the subject of 3 customer complaints that we know about. Two of James Small’s customers’ complaints were denied and, to date, the customers have not taken any further action. There is currently one pending customer complaint filed against UBS Financial Services for investment losses caused by James Small’s alleged misconduct.

Allegations Against James Small

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

  • Customer alleged he gave James Small instruction to purchase only municipal auction rate securities with underlying issuer rated AAA, and not securities rated AAA due to insurance by Monoline insurer, and is unhappy with illiquidity of bonds.
  • Customer claimed that the value of his accounts decreased due to James Small’s alleged mismanagement.
  • Claimant alleged unsuitability and misrepresentation with respect to James Small’s recommendations to invest in and hold an options overlay strategy.

James Small Red Flags & Your Rights As An Investor

Of course, James Small 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 James Small at Morgan Stanley and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether James Small has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley and UBS Financial Services 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 and UBS Financial Services Due To James Small

If you have questions about Morgan Stanley, UBS Financial Services, and/or James Small 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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars