Henry Grinberg of Aventura Florida a stockbroker formerly employed by Morgan Stanley has been terminated from the firm on June 8, 2018 while under investigation of Grinberg’s suspicious activities concerning trades placed in customer accounts.

Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that Grinberg is referenced in three customer initiated investment related disputes pertaining to accusations of his misconduct during the time that he was associated with Morgan Stanley and UBS Financial Services. In particular, on December 23, 2008, a customer initiated investment related complaint concerning Grinberg’s activities was resolved for $175,000.00 in damages based upon allegations that while Grinberg was associated with UBS Financial Services, the customer was inappropriately placed in auction rate securities which caused the customer to suffer unwarranted losses.

Thereafter, on October 2, 2013, a customer filed an investment related complaint regarding Grinberg’s activities in which the customer requested $9,911.00 in damages supported by accusations that while Grinberg was associated with Morgan Stanley, exchange traded fund transactions and structured products transactions executed in the customer’s account were not suitable for the customer. Moreover, on May 6, 2016, a customer filed an investment related complaint involving Grinberg’s conduct where the customer sought unspecified damages founded on allegations that between September of 2014 and January of 2016, the customer’s assets were allocated in bad equities investments causing the customer to suffer losses.

Grinberg has been registered with Raymond James Associates Inc. since June 8, 2018.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

Questions or comments regarding the source or accuracy of any information, including any subsequent developments, should be directed to:  [email protected]

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer.

Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.  
National Practice. Contingent Fee. Confidential Free Consultation.

 (877) SEC-ATTY

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)