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Seth Mason Formerly With Morgan Stanley Has 7 Customer Complaints For Alleged Broker Misconduct

Who is Seth Mason formerly with Morgan Stanley?

Seth Mason

Seth Mason (CRD #1540891) who was formerly registered with Morgan Stanley and located in Grand Rapids, Michigan, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Seth Mason was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Seth Mason Customer Complaints

Seth Mason has been the subject of 7 customer complaints that we know about to recover investment losses. Four of the customer complaints were settled by Seth Mason’s employers in favor of the investor. Two of the customer complaints were denied and, to date, the investors have taken no further action. There is currently one arbitration proceeding still pending for Seth Mason’s alleged misconduct.

Allegations Against Seth Mason

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

  • Unsuitable recommendation of unit investment trust and mutual fund.
  • Advice provided was not in customer’s best interest.
  • Account related negligence.
  • Breach of fiduciary duty.
  • Violation of Illinois Consumer Fraud and Deceptive Business Practices Act.
  • Unsuitable investment strategy.

Seth Mason Red Flags & Your Rights As An Investor

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

If you have questions about Morgan Stanley and/or Seth Mason 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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