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Roxann Romano Of Morgan Stanley Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Roxann Romano of Morgan Stanley?

Roxann Romano

Roxann Romano (CRD #1856485) who is currently registered as a broker and investment adviser 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, Roxann Romano was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Roxann Romano Customer Complaints

Roxann Romano has been the subject of 5 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled by Roxann Romano’s employer’s in favor of the investors. The other 2 customer complaints were denied by UBS Financial Services customers took no further action.

Allegations Against Roxann Romano

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

  • Misrepresentations and omissions with regard to structured products investments.
  • Excessive trading.
  • Misrepresentation of structured products.
  • Unsuitable investment recommendations and churning.
  • Unauthorized closing and transfer of funds from client’s account.

Roxann Romano Red Flags & Your Rights As An Investor

Of course, Roxann Romano 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 Roxann Romano at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Roxann Romano has engaged in any stockbroker misconduct that may have caused them investment losses. The 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.

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 Roxann Romano

If you have questions about Morgan Stanley and/or Roxann Romano 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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