Robert Montes, previously with Morgan Stanley, Barred by FINRA

Have you lost money with financial advisor Robert Montes?  We are investigation allegations made about Robert Frederico Montes from Palm Harbor, Florida.  FINRA (the Financial Industry Regulatory Authority) barred Montes from the securities industry after Montes failed to respond to its investigation.   FINRA was investigating Montes after he was alleged to have misused money from an elderly investor.

Robert Montes was a financial advisor and registered representative of Morgan Stanley from February 2014 to July 2019.  He worked in a branch office in Palm Harbor, Florida.  Montes has been the subject of three customer complaints.

Brokerage firms like Morgan Stanley have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including Florida. Attorney David Neuman is licensed to practice law in Florida.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Morgan Stanley.

Click to view: Montes, Robert FINRA AWC (1)

Click to view:  Montes, Robert BrokerCheck 7.25.19 (1)

If you lost money with Robert Montes or Morgan Stanley, please CONTACT US at 720-599-3505 for a free evaluation of your case.