Public records provided by the Financial Industry Regulatory Authority (FINRA) on July 16, 2016 indicate that Pennsylvania-based Harvest Financial Corporation broker/adviser Charles Correal is the subject of three pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Correal (CRD# 1366202).
Charles Correal has spent 31 years in the securities industry and has been registered with Harvest Financial Corporation in Pittsburgh, Pennsylvania since May 2016. Previous registrations include Morgan Stanley in Upper St. Clair, Pennsylvania (2009-2016); Morgan Stanley & Company in Pittsburgh, Pennsylvania (2007-2009); Morgan Stanley DW in Pittsburgh, Pennsylvania (2006-2007); Janney Montgomery Scott in Cannonsburg, Pennsylvania (1992-2006); Legg Mason Wood Walker in Baltimore, Maryland (1988-1992); and Janney Montgomery Scott (1985-1988). He is a registered broker and investment adviser with six US states: California, Maryland, Ohio, Pennsylvania, Virginia, and West Virginia.
According to his BrokerCheck report, Charles Correal has received three pending customer complaints.
In February 2016, a customer alleged Charles Correal, while employed at Morgan Stanley, recommended unsuitable investments in energy stocks. The customer is seeking $180,000 in damages in the pending complaint.
In December 2015, a customer alleged Charles Correal, while employed at Morgan Stanley, effected unauthorized transactions and made unsuitable investment recommendations. The customer is seeking $290,000 in damages in the pending complaint.
In February 2015, a customer alleged Charles Correal, while employed at Morgan Stanley, recommended unsuitable oil stock investments. The customer is seeking unspecified damages in the pending complaint.
According to FINRA rules and federal securities law, brokers and investment advisers like Charles Correal may not execute transactions without a customer’s permission or authorization. There are some exceptions, including discretionary accounts and, in some circumstances, margin accounts. Brokers, investment advisers, and broker-dealer firms who effect unauthorized trades may be subject to disciplinary action by FINRA or the Securities and Exchange Commission.
If you have suffered losses as a result of investments made with Charles Correal, you may be able to collect a recovery. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: we only receive payment if and when you recover money. You may have a limited window to file your claim, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.