ROBERT JOHN O’CONNOR at MORGAN STANLEY – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 1739612
ROBERT JOHN O’CONNOR is an Investment Adviser, associated with MORGAN STANLEY located at RANCHO SANTA FE, CA. ROBERT O’CONNOR’s Central Registration Depository (CRD) number is 1739612 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for ROBERT O’CONNOR

    • Event Date: 10/10/2013
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Denied
    • Disclosure Detail :: Allegations: CLIENT ALLEGES UNSUITABILITY WITH RESPECT TO PURCHASE OF NRGY ON 3/07/2011.
    • arbitrationDocketNumber:

Disclosure #2 for ROBERT O’CONNOR

      • Event Date: 8/4/2011
      • Disclosure Type: Customer Dispute
      • Disclosure Resolution: Denied
      • Disclosure Detail :: Allegations: CUSTOMER CLAIMS THAT FINANCIAL ADVISOR MADE UNAUTHORIZED TRADES IN HER ACCOUNTS BETWEEN JANUARY & FEBRUARY 2011.
      • Damage Amount Requested: $75,250.72
      • arbitrationDocketNumber:

Disclosure #3 for ROBERT O’CONNOR

      • Event Date: 8/4/2011
      • Disclosure Type: Customer Dispute
      • Disclosure Resolution: Denied
      • Disclosure Detail :: Allegations: CUSTOMER CLAIMS THAT FINANCIAL ADVISOR MADE UNAUTHORIZED TRADES IN HER ACCOUNTS BETWEEN JANUARY & FEBRUARY 2011.
      • Damage Amount Requested: $75,250.72
      • arbitrationDocketNumber:


Should I file a FINRA complaint against brokers like ROBERT JOHN O’CONNOR?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by ROBERT JOHN O’CONNOR’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About ROBERT JOHN O’CONNOR

What is ROBERT O'CONNOR's Central Registration Depository (CRD) Number?

1739612

Which firm is ROBERT JOHN O'CONNOR associated with?

MORGAN STANLEY

Where is ROBERT O'CONNOR located?

6037 LA FLECHA, RANCHO SANTA FE, CA, 92067

Where can I find more details about ROBERT O'CONNOR's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/149777 to read a detailed report for MORGAN STANLEY

Are there any disclosures, allegations or complaints filed against ROBERT JOHN O'CONNOR?

Yes. There are disclosures, allegations, or complaints filed against ROBERT JOHN O’CONNOR. Click here to view all details

Where can I download a detailed FINRA report for ROBERT O'CONNOR?

Click here to download a detailed FINRA report for ROBERT O’CONNOR

Is it safe to do business with ROBERT JOHN O'CONNOR?

We’re not sure. Please research ROBERT O’CONNOR’s disclosures, allegations and complaints before taking a decision


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