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Nancy Dawn Glassman with Morgan Stanley Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years

Who is Nancy D. Glassman with Morgan Stanley?

Nancy Glassman (CRD #1734992) who is currently registered with Morgan Stanley and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to Morgan Stanley, Nancy Glassman was associated with UBS Financial Services Inc. and 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Morgan Stanley Broker Misconduct

In her career, Nancy Glassman has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last years to recover investment losses. Three of Nancy Glassman’s for customer complaints were settled in favor of investors.

Allegations Against Nancy Glassman

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

  • Claimants alleged that unsuitable investments were made in a managed account.
  • Claimants alleged that Nancy Glassman’s recommendation of Lehman structured notes were unsuitable investment recommendations and misrepresented.
  • The client alleged that Nancy Glassman recommended two small-cap mutual funds that were unsuitable investment recommendations.

Nancy Glassman Red Flags & Your Rights as An Investor

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

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