Can you recover losses due to recommendations by Morgan Stanley broker William Lawes (CRD# 6170991)? He has been registered with UBS Financial Services Inc. in Austin, Texas, since 2024. He was registered with Morgan Stanley in Austin, Texas, and Purchase, New York, from 2013 to 2024.
William Lawes Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
December 2024. “Claimant alleges unsuitable recommendation and misrepresentation with respect to alternative investment strategy – Jan 2022 to Aug 2024.” The case is currently pending. The complaint was regarding fixed annuities, structured products, and hedge funds, 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 William Lawes’ 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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