Edward Louis Barger, of Miami, Florida, a stockbroker formerly registered with Morgan Stanley, is the subject of a customer initiated investment related arbitration claim, in which the customer requested $400,000.00 in damages based upon allegations that unsuitable closed-end fund, stock and over-the-counter equity transactions were effected in the customer’s account between January of 2010 and November of 2016. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-02301 (Aug. 28, 2017).
FINRA Public Disclosure confirms that another customer filed an investment related arbitration claim pertaining to Barger’s conduct, where the customer requested $200,00000 in damages supported by accusations of suitability concerning equity transactions executed in the customer’s account. FINRA Arbitration No. 17-00994 (Apr. 12, 2017). Further, on June 12, 2017, a customer initiated investment related complaint regarding Barger’s activities was resolved for $18,000.00 in damages based upon allegations that equity trades were effected in the customer’s account without the customer’s authorization.
Since November 16, 2016, Barger is no longer associated with Morgan Stanley.
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