DID JEFFREY ALAN GOODSTEIN CAUSE YOU INVESTMENT LOSSES?
Jeffrey Alan Goodstein with Morgan Stanley Has [#] Customer Complaints for Alleged Broker Misconduct in the Past 2 Years
Who is Jeffrey A. Goodstein with Morgan Stanley?
Jeffrey Goodstein (CRD # 4536646) who is currently registered with Morgan Stanley and located in Boston, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Jeffrey Goodstein was associated with UBS Financial Services Inc. and another investment advisory and brokerage firm with a history of customer complaints and securities industry regulatory problems.
Morgan Stanley Broker Misconduct
In his career, Jeffrey Goodstein has been the subject of the 3 customer complaints that we know about, all of those complaints were filed in the last year to recover investment losses. All of Jeffrey Goodstein’s customer complaints arose in connection with his employment at UBS Financial Services, Inc. in that brokerage firm settled all of those complaints in favor of investors.
Allegations Against Jeffrey Goodstein
The allegations made in the FINRA reported arbitration claim settlements for investment losses for the same in all 3 customer complaints and that is Jeffrey Goodstein omitted certain disclosures connection with a 10 b5-1 plan. A 10 b5-1 plan is a method by which certain insiders may sell securities not be subject to certain violations of the law related to insider-trading or 10 b-16 violations.
Jeffrey Goodstein blamed the trading desk for the 3 complaints, but apparently UBS Financial Services, Inc. decided that was not the case to report the violations on his record.
Jeffrey Goodstein Red Flags & Your Rights as An Investor
Of course, Jeffrey Goodstein did does 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 that should put all current and former customers of Jeffrey Goodsteinat Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Goodsteinhas engaged in any stockbroker misconduct that may have caused them investment losses.
The large number of customer complaints at UBS Financial Services Inc. also raises questions about 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, Inc.
If you have questions about Morgan Stanley and UBS Financial Services, Inc. and/or Jeffrey Goodsteinand 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.