Ricardo Guimaraes Of Morgan Stanley And Formerly With Wells Fargo Clearing Services And UBS Financial Services Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Ricardo Guimaraes of Morgan Stanley?

Ricardo Guimaraes (CRD #5442981) who is currently registered with Morgan Stanley and located in Miami, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Ricardo Guimaraes was associated with Wells Fargo Clearing Services, UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Ricardo Guimaraes Customer Complaints

Ricardo Guimaraes has been the subject of 2 customer complaints that we know about. Both of Ricardo Guimaraes’ 2 customer complaints were settled in favor of investors.

Allegations Against Ricardo Guimaraes

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

  • Claimant alleged that Ricardo Guimaraes purchased unsuitable investments.
  • Claimant alleged Ricardo Guimaraes sold unsuitable Brazilian bonds in violation of Reg. S.

Ricardo Guimaraes Red Flags & Your Rights As An Investor

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

If you have questions about Morgan Stanley, Wells Fargo Clearing Services, UBS Financial Services, and/or Ricardo Guimaraes 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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