Morgan Stanley Broker Joseph Dugan Accused of Unauthorized Trades

Morgan Stanley

Morgan Stanley broker Joseph Dugan (CRD# 1412880) is accused of unauthorized trading. He has been registered with Morgan Stanley in Clayton, Missouri, since 2009. 

Joseph Dugan Customer Complaints

He has been the subject of two customer complaints between 2000 and 2022, according to his CRD report. The most recent complaint was regarding: 

September 2022. “Client alleges the sale of his shares of his Exxon stock was unauthorized 2021.” The case is currently pending. The complaint was regarding common and preferred stocks, 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 Joseph Dugan’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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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.