10.0David P Neuman
(720) 599-3505

WARNING! Impending Investigation: SAMUEL SLOANE and MORGAN STANLEY

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17
Dec

WARNING! Impending Investigation: SAMUEL SLOANE and MORGAN STANLEY

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WARNING!  Impending Investigation:  SAMUEL SLOANE and MORGAN STANLEY

Samuel Sloane and Morgan Stanley

 

Have you lost money with financial advisor Samuel W. Sloane of Fort Worth, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Samuel Sloane. FINRA barred Sloane from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Sloane regarding allegations that he converted or stole money from a trust while serving as the trustee.

 

Samuel Sloane was a financial advisor and registered representative of Morgan Stanley from 2005 to October 2015.  He worked at a branch office in Fort Worth, Texas.  Morgan Stanley terminated Sloane in October 2015.

 

Brokerage firms like Morgan Stanley have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Texas and throughout the Dallas-Fort Worth area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

 

Click to view:  Sloane FINRA AWC

Click to view:  Sloane BrokerCheck 12.17.15

 

HAVE YOU LOST MONEY WITH SAMUEL SLOANE or MORGAN STANLEY?    

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798

 

 

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.
10.0David P Neuman

FREE CASE EVALUATION

DENVER: (720) 599-3505

SEATTLE: (206) 795-5798


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