Tag Archives: Sumitro Pal

Morgan Stanley Sued For Private Securities Transactions

April 18, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Morgan Stanley Sued For Private Securities Transactions

Sumitro Pal of Bethesda Maryland a stockbroker formerly registered with Morgan Stanley is the subject of a customer initiated investment related civil action brought in a Maryland District Court where the customer sought $75,000.00 in damages founded on allegations relating to Pal’s private securities transactions while registered with Morgan Stanley Smith Barney. Civil Action No. […]

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Morgan Stanley Sued By Investors For Misappropriation

Sumitro Pal of Bethesda Maryland a stockbroker formerly registered with Morgan Stanley Smith Barney is the subject of a customer initiated investment related arbitration claim in which the customer sought unspecified damages supported by accusations that the customer’s funds had been misappropriated through an investment held by the customer outside the firm’s auspices between 2013 […]

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Morgan Stanley Smith Barney Sued For Failure To Supervise

July 29, 2017  |   Posted by :   |   Failure To Supervise, Securities Arbitration Claims   |   0 Comments

Sumitro Pal, of Bethesda, Maryland, a stockbroker formerly registered with Morgan Stanley Smith Barney, is the subject of a customer initiated investment related written complaint on May 1, 2017, in which the customer requested $115,156.00 in damages based upon allegations that the firm failed to supervise Pal’s faulty corporate debt transactions placed in the customer’s […]

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