There are options for clients of former Morgan Stanley broker Guillermo Eiben (CRD# 5697705) who lost money investing in stocks. He has been registered with UBS Financial Services Inc. in New York, New York, since 2023. He was registered with Morgan Stanley in New York, New York, from 2009 to 2023.
Guillermo Eiben Customer Complaints
He has been the subject of two customer complaints between 2022 and 2024, one of which was denied, according to his CRD report:
May 2016. “Client alleged that the investment strategy implemented in his accounts was not in his best interest 2014-2023.” The case was settled for $400,000. The complaint was regarding common and preferred stocks and mutual fund losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Morgan Stanley may be liable for investment or other losses suffered by Guillermo Eiben’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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