BRUCE PLYER of Morgan Stanley Terminated for Unauthorized Trading
Bruce Plyer, formerly with Morgan Stanley, Barred from Securities Industry
Have you lost money with financial advisor Bruce Plyer from Florham Park, New Jersey? We are looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Bruce Arnold Plyer. FINRA barred Plyer from the securities industry after he failed to respond to an investigation. Plyer was being investigated after he was terminated by his former brokerage firm, Morgan Stanley. He was terminated for allegations that he engaged in unauthorized trading.
Bruce Plyer was a registered representative and financial advisor with Morgan Stanley from 2009 to December 2016, and he was previously with Citigroup from 1993 to 2009. He worked out of a branch office in Florham Park, New Jersey. Plyer was previously the subject of four customer complaints.
Broker-dealers like Morgan Stanley have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives. Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations. When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Our firm represents investors throughout the country who are victims of financial advisors’ negligence and fraud in FINRA arbitration. Our firm has offices in Seattle and Denver, and we continue to represent investors throughout the U.S., including in New Jersey.
Click to view: Plyer, Bruce FINRA AWC
If you have lost money with Bruce Plyer and Morgan Stanley, and want to hear about ALL legal options, please CONTACT ISRAELS & NEUMAN at 720-599-3505.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
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