Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 25, 2016 indicate that New York-based Morgan Stanley broker/adviser Ralph Ward has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ward (CRD# 3245599).
Ralph Ward has spent 16 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2009. Previous registrations include Citigroup Global Markets in New York, New York; UBS International in Houston, Texas; UBS Painewebber in Weehawken, New Jersey; and Prudential Securities in New York, New York. He is a registered broker and investment adviser with 12 US states: California, Colorado, Connecticut, Florida, Louisiana, Massachusetts, New Hampshire, New Jersey, New Mexico, New York, Texas, and West Virginia.
According to his BrokerCheck report, Ralph Ward has received one customer complaint and two pending customer complaints.
In 2015, a customer alleged Ralph Ward, while employed at Morgan Stanley Smith Barney, executed unauthorized trades. The customer is seeking $3,000,000 in damages in the pending complaint.
In 2004, a customer alleged Ralph Ward, while employed at UBS International, recommended an investment for which the customer never received the principal upon maturity. The customer is seeking $150,000 in damages in the pending complaint.
In 2003, a customer alleged Ralph Ward, while employed at UBS Financial Services, breached contract, acted negligently, executed unauthorized trades, breached his fiduciary duty, made unsuitable investment recommendations, and committed fraud. The complaint settled in 2005 for $340,000.
If you have lost money investing with Ralph Ward, you may be eligible to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only receive payment if and when you recover money. You might have a limited time to file your claim, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.