Charles Alan Correal, of Pittsburgh, Pennsylvania, a stockbroker formerly registered with Morgan Stanley Smith Barney, has been named in a customer initiated investment related arbitration claim on February 29, 2016, in which the customer requested $180,000.00 in damages based upon allegations that between 2008 to 2016, Correal effected unsuitable transactions in the customer’s account pertaining to energy stocks.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Correal has been identified in three additional customer initiated investment related disputes containing allegations of his misconduct while employed with Morgan Stanley. Specifically, on February 9, 2015, a customer filed an investment related arbitration claim involving Correal’s conduct, in which the customer requested $260,000.00 in damages based upon allegations that between 2011 and 2015, Correal effected oil and gas stocks transactions in the customer’s account which were not suitable.
Subsequently, on February 23, 2016, a customer filed an investment related written complaint pertaining to Correal’s actions based upon allegations that Correal effected unsuitable equity transactions in the customer’s account. On December 18, 2015, another customer filed an investment related arbitration claim regarding Correal’s activities in which the customer requested $290,000.00 in damages based upon allegations that between July of 2013 and December of 2015, Correal effected unauthorized and unsuitable equity trades in the customer’s account.
Correal’s registration with Morgan Stanley was terminated on May 18, 2016. Since May 24, 2016, Correal has been registered with Harvest Financial Corporation.
Guiliano Law Group
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