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Kathleen Entwistle Of Morgan Stanley And Formerly With UBS Financial Services Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Kathleen Entwistle of Morgan Stanley?

Kathleen Entwistle

Kathleen Entwistle (CRD #2832985) who is currently registered with Morgan Stanley and located in Paramus, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Kathleen Entwistle was associated with UBS Financial Services Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Kathleen Entwistle Customer Complaints

Kathleen Entwistle has been the subject of 2 customer complaints that we know about to recover investment losses. The 2 customer complaints are pending further arbitration proceedings.

Allegations Against Kathleen Entwistle

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

  • Both arbitration proceedings are for misrepresentations and unsuitable investment recommendations to invest in and hold and options overlay strategy known as the UBS Yield Enhancement Strategy (YES).

Kathleen Entwistle Red Flags & Your Rights As An Investor

Of course, Kathleen Entwistle 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 Kathleen Entwistle at Morgan Stanley and UBS Financial Services Inc. on alert to review carefully the activity and performance of their accounts and question whether Kathleen Entwistle 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 Inc. 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.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Kathleen Entwistle

If you have questions about Morgan Stanley, UBS Financial Services Inc. and/or Kathleen Entwistle 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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