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Mark Carroll of Morgan Stanley Has A Customer Complaint for Alleged Broker Misconduct

Who is Mark Carroll of Morgan Stanley?

Mark Carroll (CRD #1306479) who is currently registered with Morgan Stanley and located in Brea, California is a subject of one of our many securities industry sales practice abuse investigations.

Mark Carroll Customer Complaint

Mark Carroll has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were for unauthorized purchases of stock in the client’s trust account. Mark Carroll’s customer complaint was settled in favor of the investors.

Mark Carroll Red Flags & Your Rights as An Investor

Of course, Mark Carroll 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 that should put all current and former customers of Mark Carroll at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Mark Carroll has engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s 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 Mark Carroll

If you have questions about Morgan Stanley, and/or Mark Carroll 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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