In 2009, Morgan Stanley purchased Smith Barney from Citigroup, which now operates under the name Morgan Stanley, the largest wealth management business in the world. The deal made the brokerage firm the largest on Wall Street by the number of financial advisers and second to Bank of America's Merrill Lynch in terms of client assets. Morgan Stanley operates in over 40 countries, and it has more than 1,300 offices and 60,000 employees. Assets under management or supervision at the company exceed $300 billion.FINRA Arbitration Lawyer For Smith Barney Investors Nationwide
Smith Barney has been the subject of numerous past regulatory events and arbitration proceedings. Some of these past regulatory events and arbitration proceedings included claims involving fraud, misrepresentation, negligence, breach of fiduciary duty, omissions, unsuitable investments, churning, mismanagement of accounts, and failure to supervise. The Financial Industry Regulatory Authority (FINRA) oversees broker-dealer and stockbroker practices and enforces its rules to protect investors and uphold industry standards. FINRA also provides potential investors with useful research tools on its website. Investors considering opening an account at Smith Barney should perform their own due diligence by reviewing the broker-dealer's regulatory history and stockbroker's history of conduct. To begin investigating Smith Barney and/or its registered representatives, please visit BrokerCheck.Schedule Your Free Initial Consultation with an Aggressive Attorney with Experience in FINRA Arbitrations and Smith Barney
For dedicated representation by a law firm with substantial experience in all aspects of securities, and commodities and investment disputes, contact the Law Offices of Robert Wayne Pearce, P.A., located in Boca Raton, Florida. For over 35 years, Attorney Pearce has tried, arbitrated, and mediated hundreds of disputes involving complex securities, commodities and investment law issues. The lawyers at our law firm are devoted to representing investors throughout the United States and international community! We have information about arbitrations and disciplinary actions against Smith Barney and/or stockbrokers employed at the firm on our blog. You can always call 800-732-2889 or email Mr. Pearce at email@example.com for answers to any of your questions about your Smith Barney investment losses and/or any related matter.