John Rochester Customer Complaints
John Rochester has been the subject of two customer complaints between 2009 and 2021, according to his CRD report. The most recent complaint is regarding:
October 2021. “Claimant alleges, inter alia, unauthorized trading with respect to managed accounts – Nov 2013.” The customer is seeking $600,000 in damages and the case is currently pending. The complaint was regarding managed and wrap accounts and an in-house money manager.
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 John Rochester’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.