Morgan Stanley broker Helen Rothlein (CRD# 709040) is accused of stock losses. She has been registered with Morgan Stanley in New York, New York, since 2009.
Helen Rothlein Customer Complaints
She has been the subject of three customer complaints between 1993 and 2025, one of which was denied, according to her CRD report:
March 2025. “Attorney Alleges, Inter Alia, That Covered Option Trading Recommended For Clients Was Unsuitable 2019-2023.” The customer is seeking $429,000 in damages, and the case is currently pending. The complaint was regarding stock losses, and it took place while he was registered with Morgan Stanley.
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 Helen Rothlein’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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