Joel Randy Freedman of West Conshohocken, Pennsylvania, a stockbroker registered with Morgan Stanley, has been permitted to resign on March 14, 2024, based upon allegations that Freedman engaged in discretionary trading in a customer account and failed to internally report a customer’s complaint.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on March 4, 2024, a customer initiated investment related complaint involving Freedman’s conduct was settled for $1,308,737.34 in damages based upon allegations that Freedman engaged in unauthorized trading in options and stocks when Freedman was associated with Morgan Stanley.
Freedman was associated with Morgan Stanley in West Conshohocken, Pennsylvania from June 1, 2009, to March 28, 2024. Freedman has been associated with Sanctuary Securities Inc. in Radnor, Pennsylvania since April 18, 2024, and associated with Sanctuary Advisors LLC in Radnor, Pennsylvania since April 22, 2024.
