Joseph Serrato – Arbitration Claim Filed Involving Financial Advisor Joseph Serrato

Joseph Serrato – Arbitration Claim Filed Involving Financial Advisor Joseph Serrato | Goodman & Nekvasil P.A, May Recover Investor Losses

Joseph Serrato III CRD #2458277

Since June 2009, Joseph Serrato III was licensed with Morgan Stanley. FINRA reports that an arbitration claim was filed while Joseph Serrato III was licensed with with Morgan Stanley alleging closed-end fund investments in her account were unsuitable and misrepresented. This arbitration claim involving Joseph Serrato III’s conduct was settled for $325,000.

FINRA also reports that an arbitration claim involving Joseph Serrato III’s conduct with Morgan Stanley is pending. This claim alleges over-concentration in unsuitable investments from February 2014 to 2016. This pending arbitration claim involving Joseph Serrato III’s conduct seeks damages of $334,000.  

If you lost any money on investments with Joseph Serrato III, you may be able to recover your losses from Morgan Stanley. This is because Morgan Stanley had a duty to supervise Joseph Serrato III.

If you lost money on investments with Joseph Serrato III and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Morgan Stanley concerning Joseph Serrato III’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on investments with Joseph Serrato III and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

 

 

Keywords: Joseph Serrato, Joseph Serrato III, Joseph Charles Serrato, Morgan Stanley, Investment, Securities, Securities Attorney, Goodman and Nekvasil, Investors, Broker, Firm, Lawyer, 

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