Erez Law is currently investigating former Morgan Stanley broker Robert Rumley III (CRD# 4474706), who suffered investment losses. He has been registered with William Blair and William Blair & Company L.L.C. in Atlanta, Georgia, since 2021. Previously, he was registered with Morgan Stanley in Atlanta, Georgia, from 2011 to 2021.
Robert Rumley III Customer Complaints
He has been the subject of two customer complaints between 2013 and 2023, one of which was closed without action, according to his CRD report. The most recent complaint was regarding:
August 2023. “Client alleges, inter alia, that her accounts were not managed in her best interests 2013-2021.” The case is currently pending. The complaint was regarding a non-broker dealer affiliate product, and it took place while he was registered with Morgan Stanley.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Morgan Stanley may be liable for investment or other losses suffered by Robert Rumley III’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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