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Tagged with "Morgan Stanely"

More Ex-Morgan Stanley FAs Demand Deferred Comp — in Arbitration

Posted on March 30th, 2022 at 10:02 AM

Eccleston Law is representing 10 ex-Morgan Stanley advisors in their claim over forfeited deferred compensation which was filed last week with FINRA.

 
 

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Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.

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