Were you the victim of Morgan Stanley broker Ryan Caldwell (CRD# 6642132)? He was registered with Morgan Stanley in New York, New York, from 2017 to 2023, when he was terminated regarding, “Allegations that employee used an unapproved third-party communication application to send written communications to a client about a private securities transaction, and sent unsecured emails to communicate client information.”
Ryan Caldwell Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
September 2024. “Claimant alleges, inter alia, that the Option Trades Executed in his account were unauthorized – April 2022 through November 2023.” The customer is seeking $1,200,000 in damages, and the case is currently pending. The complaint was regarding options losses 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 Ryan Caldwell’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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