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James Harvey III, Morgan Stanley, Faces Pending Complaint

Screen Shot 2014-10-24 at 12.19.38 PMJames Harvey III, Morgan Stanley, Faces Pending Complaint

Morgan Stanley broker, financial adviser James Harvey III, Texas, has a customer complaint. The investment recovery lawyers at StockBrokerLawyer.com are ready to help additional customers recover their investment losses against Mr. Harvey (CRD# 2950942) or Morgan Stanley.

James Harvey III, Morgan Stanley, has spent seventeen years giving financial advice and has been employed by Morgan Stanley in Dallas, Texas since 2009. He is a registered broker and investment adviser with eight states including California, Maryland, Nebraska, New York, Oklahoma, Texas, Virginia, and Washington. Morgan Stanley may have customers in each of these states with losses that are recoverable.

According to the FINRA BrokerCheck report, James Harvey III has one pending customer complaint from his conduct at Morgan Stanley Smith Barney.

In February 2016 a customer alleged James Harvey III, employed at Morgan Stanley Smith Barney, made unsuitable investment recommendations. The customer is seeking unspecified damages in the pending complaint.

According to FINRA rules and federal securities law, investment advisors and firms, like James Harvey III and Morgan Stanley, must comply with a standard called suitability, which requires them to recommend only investments that are suitable for their clients. Morgan Stanley and other firms must supervise their financial advisors, to be sure that they weigh such factors as the customer’s investment goals, experience, age, income, risk tolerance, and others. They may not misrepresent or omit material facts pertaining to an investment, as misrepresentations or omissions might lead a customer to make unsuitable investments. Financial advisors, and the firms that must supervise them, may be subject to disciplinary action by FINRA or the Securities and Exchange Commission.

If you have complaints regarding James Harvey III, or if you have losses in your account, with this financial advisor, call (888) 986-7199 or write the investment recovery lawyers at StockBrokerLawyer.com for a free no-cost consultation. We can help recover your losses and seek other damages, too.

You can use the email form or chat on StockBrokerLawyer.com You may be entitled to recover your losses. We work on contingency: we are paid only when you are paid. Time is limited; delay is the favorite defense of the brokerage firms. Call 888-986-7199 now to speak to an attorney for a no cost evaluation.


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