Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Ryan Wroblewski (Wroblewski), currently employed by Morgan Stanley and formerly registered with Aegis Capital Corp. (Aegis) has been subject to at least four customer complaints during the course of his career. Wroblewski’s customer complaints alleges that Wroblewski recommended unsuitable investments, made misrepresentations, unauthorized use of margin, and breach of fiduciary duty in various investments relating to the handling of client accounts.
In February 2021 a customer complained that Wroblewski violated the securities laws by alleging that Wroblewski made investments recommendations that the client alleges involved misrepresentations with respect to options investments from April 2018 to April 2020. The claim alleges $17,500 in damages and is currently pending.
In February 2021 a customer complained that Wroblewski violated the securities laws by alleging that Wroblewski made investments recommendations that the client alleges involved unsuitable investments, misrepresentation, breach of fiduciary duty, and breach of contract. The claim is currently pending.
In May 2020 a customer complained that Wroblewski violated the securities laws by alleging that Wroblewski made investments recommendations that the client alleges involved in unsuitable investments and unauthorized use of margin from 2014 through 2016. The claim alleges $985,000 in damages and is currently pending.