Keith Allen Bryan, of Sarasota, Florida, a stockbroker formerly registered with Morgan Stanley, has been named in a customer initiated investment related arbitration claim on December 13, 2016, where the customer requested $30,968.61 in damages based upon allegations that Bryan, between 2012 and 2016, effected unsuitable stock and municipal bond transactions in the customer’s account that were not suitable for the customer and which resulted in an over-concentration of the customer’s assets in the inappropriate securities.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Bryan has been named in two more customer initiated investment related disputes regarding allegations of his wrongdoing while associated with Morgan Stanley. Particularly, on April 21, 2015, a customer filed an investment related written complaint involving Bryan’s conduct, where the customer requested $225,000.00 in damages based upon allegations that he made exchange traded fund and over-the-counter equities recommendations that were not consistent with the customer’s objective for investing.
Moreover, on October 26, 2016, a customer filed an investment related arbitration claim concerning Bryan’s activities, where the customer requested $126,638.04 in damages based upon allegations against Bryan of effecting equity transactions in the customer’s investment account that were not appropriate.
Guiliano Law Group
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