Anthony Edward Dacruz of New York New York a stockbroker currently registered with Morgan Stanley Smith Barney is the subject of a customer initiated investment related arbitration claim where the customer sought $200,000.00 in damages based upon allegations that the customer was placed into municipal debt products between December of 2012 and August of 2017 that were not suitable for the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-01292 (Apr. 11, 2018).
FINRA Public Disclosure confirms that Dacruz is referenced in two more customer initiated investment related disputes pertaining to accusations of his sales practice violations during the period that he was employed by J.B. Hanauer & Co. and RBC Capital Markets, LLC. Specifically, on July 18, 2003, a customer initiated investment related complaint involving Dacruz’s conduct was resolved for $25,000.00 in damages founded on allegations of poor performance and failure to execute the customer’s investment instructions.
Dacruz has been registered with Morgan Stanley since July 15, 2011.
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