Andrew Berg – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Andrew Berg. If you suffered losses investing with Andrew Berg, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Andrew Berg (CRD# 5517640)
Disclosure Events
09/27/2013 Employment Separation After Allegations
Firm Name MORGAN STANLEY SMITH BARNEY
Termination Type: Discharged
Allegations:
CONCERNS REGARDING EMPLOYEE’S HANDLING OF A CLIENT ORDER AND ESCALATION OF A TRADE ERROR.
Current and Previous Registrations
05/2015 – PRESENT MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) – JACKSONVILLE, FL
01/2010 – 10/2013 MORGAN STANLEY (CRD# 149777) – PROVIDENCE, RI
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Andrew Berg and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
