{"id":4073,"date":"2017-01-06T19:19:34","date_gmt":"2017-01-07T01:19:34","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=4073"},"modified":"2017-01-06T19:19:34","modified_gmt":"2017-01-07T01:19:34","slug":"retiree-files-1m-securities-arbitration-claim-morgan-stanley","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/retiree-files-1m-securities-arbitration-claim-morgan-stanley\/","title":{"rendered":"Retiree Files $1M Securities Arbitration Claim Against Morgan Stanley"},"content":{"rendered":"<p>\t\t\t\tAn investor who is retired and suffering from health issues is seeking $1M from <a href=\"https:\/\/www.stockbroker-fraud.com\/morgan-stanley-background-information\">Morgan Stanley (MS)<\/a>. The investor, a former inventor, claims that the broker-dealer did not properly supervise the financial adviser who handled his multi-million dollar account. \u00a0He filed a Financial Industry Regulatory Authority claim and is accusing the firm of breach of fiduciary, negligence, <a href=\"https:\/\/www.stockbroker-fraud.com\/unauthorized-trading\">unauthorized trading<\/a>, excessive trading, fraudulent inducement, and significant tax liability.<\/p>\n<p>The investor believes that over-concentation in risky sectors and over trading in too many individual stocks occurred, causing significant damage to his retirement funds. Among the investments that were involved were oil and gas investments, including Master Limited Partnerships. The claimant claims that Morgan Stanley hid the risks involved, even as the financial adviser engaged in a purportedly deceptive investment strategy. The result was that the investor\u2019s account became heavily concentrated in risky investments.<\/p>\n<p>The alleged broker negligence also purportedly caused tax consequences for the investor while benefiting Morgan Stanley with transactions costs of over $1M. The unsuitable taxable gains that were created by \u00a0led to investment losses for the investor, even as the broker claimed that the investor\u2019s account was profiting.<\/p>\n<p> <a href=\"https:\/\/www.investorlawyers.com\/blog\/retiree-files-1m-securities-arbitration-claim-morgan-stanley\/#more-4073\" class=\"more-link\">Continue Reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>An investor who is retired and suffering from health issues is seeking $1M from Morgan Stanley (MS). The investor, a former inventor, claims that the broker-dealer did not properly supervise the financial adviser who handled his multi-million dollar account. \u00a0He filed a Financial Industry Regulatory Authority claim and is accusing the firm of breach of [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3752,3739,3787,4047,3760,3741,3803],"tags":[2684],"class_list":["post-4073","post","type-post","status-publish","format-standard","hentry","category-financial-firms","category-finra","category-morgan-stanley","category-oil-and-gas-claims","category-sec-enforcement","category-securities-fraud","category-senior-investors","tag-master-limited-partnerships"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Retiree Files $1M Securities Arbitration Claim Against Morgan Stanley &#8212; Investor Lawyers Blog &#8212; January 6, 2017<\/title>\n<meta name=\"description\" content=\"An investor who is retired and suffering from health issues is seeking $1M from Morgan Stanley (MS). The investor, a former inventor, claims that the &#8212; January 6, 2017\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/retiree-files-1m-securities-arbitration-claim-morgan-stanley\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Retiree Files $1M Securities Arbitration Claim Against Morgan Stanley &#8212; Investor Lawyers Blog &#8212; January 6, 2017\" \/>\n<meta name=\"twitter:description\" content=\"An investor who is retired and suffering from health issues is seeking $1M from Morgan Stanley (MS). The investor, a former inventor, claims that the &#8212; January 6, 2017\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Retiree Files $1M Securities Arbitration Claim Against Morgan Stanley &#8212; Investor Lawyers Blog &#8212; January 6, 2017","description":"An investor who is retired and suffering from health issues is seeking $1M from Morgan Stanley (MS). 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