INVESTOR WARNING! Karen McKinley from Manchester, New Hampshire
Have you lost money with financial advisor Karen McKinley of Manchester, New Hampshire? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Karen A. McKinley, formerly known as Karen Boggess. FINRA barred McKinley from the securities industry after she failed to respond to a FINRA investigation. FINRA was investigating Karen McKinley regarding “compliance with pre-trade client confirmation requirement in connection with certain trades in non-discretionary accounts” while she was affiliated with Morgan Stanley.
Karen McKinley was a financial advisor and registered representative of Morgan Stanley from 2009 to August 2016. She worked at a branch office in Manchester, New Hampshire.
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 Ann Arbor, Michigan; Chicago; Denver, Colorado; and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Hampshire who lost money with an advisor in Nashua. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Morgan Stanley.
Click to view: McKinley, Karen FINRA AWC
Click to view: McKinley, Karen BrokerCheck 12.7.16
IF YOU LOST MONEY WITH KAREN MCKINLEY OR MORGAN STANLEY, PLEASE CONTACT ISRAELS & NEUMAN AT (206) 795-5798 FOR A FREE EVALUATION OF YOUR CASE.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.