RUCE ARNOLD PLYER (BRUCE PLYER) CRD#: 1666324 was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm on October 29, 2018. Without admitting or denying the findings, BRUCE PLYER consented to the sanction and to the entry of findings that he failed to appear and provide FINRA with requested on-the-record testimony in connection with an investigation concerning allegations that he engaged in unauthorized trading in client accounts.
BRUCE PLYER, according to FINRA’s BrokerCheck, had been a registered representative for 29 years. Plyer was with Morgan Stanley of Florham Park, New Jersey, since June of 2009. In November of 2016, the Morgan Stanley discharged Plyer over allegations that he executed trades in clients’ accounts without the client’s authorization.
After Plyer’s discharge from Morgan Stanley, he was registered with International Assets Advisory, LLC, of Morristown, New Jersey, and was with them until February of 2017.
According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, BRUCE PLYER, has four customer disputes on his record dating back to 1998. Three of the disputes settled and one was denied. With the three disputes that settled, some of the allegations were: negligence, breach of fiduciary duty, unauthorized trading fraud and fraudulent concealment and unsuitability, engaging in unsuitable and excessive margin trading, and misrepresentation of auction rate securities. The complaints settled for hundreds of thousands of dollars in total.
If you or a loved one experienced investment losses due to the actions or recommendations of BRUCE ARNOLD PLYER formerly with Morgan Stanley, and International Assets Advisory, of New Jersey, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA. We operate on a contingency fee basis—no fee if no recovery.