Morgan Stanley Smith Barney, LLC
Morgan Stanley Smith Barney (“Morgan Stanley”) is a registered broker-dealer with the Financial Industry Regulatory Authority (“FINRA”). It is also registered with the Securities and Exchange Commission (“SEC”). Accordingly, it must abide by securities regulations and federal and state securities laws. Failure to do so leaves it susceptible to private and public legal action.
Morgan Stanley conducts 23 types of businesses. Its investment advisory services include financial planning, portfolio management, and pension consulting. Its clients consist of individuals, banking institutions, pooled investment vehicles, pension and profit sharing plans, charitable organizations, businesses, and government entities. It is compensated for its investment advisory services with either fixed fees, a percentage of assets under management, or commission.
If you believe you have a claim against Morgan Stanley, contact the attorneys at McCabe Rabin, P.A. for a free case review. Call 877-415-4040 or click here to e-mail us a written description of your case.