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Roxann Seaton Of Morgan Stanley Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Roxann Seaton of Morgan Stanley?

Roxann Seaton (CRD #1395987) who is currently registered with Morgan Stanley and located in Sebring, Florida is a subject of one of our many securities industry sales practice abuse investigations.

Roxann Seaton Customer Complaints

Roxann Seaton has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Roxann Seaton’s customers’ complaints were denied and the customers did not take any further action. There is currently one pending customer complaint filed against Morgan Stanley for investment losses caused by Roxann Seaton’s alleged misconduct..

Allegations Against Roxann Seaton

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

  • Claimant’s POA agent alleged, inter alia, excessive trading with respect to investments by Roxann Seaton.
  • Client alleged Roxann Seaton did not explain the variable nature of the product.
  • Customer alleged that variable annuity was misrepresented by Roxann Seaton.

Roxann Seaton Red Flags & Your Rights As An Investor

Of course, Roxann Seaton 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 Seaton at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Roxann Seaton 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 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 Roxann Seaton

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