Investors have come forward with complaints about securities broker Corey Jon Engelhard (CRD: 2788550, Plantation, Florida). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley clients allege that Engelhard made unsuitable recommendations. For more on these disclosures about Engelhard, see below.
Specifically, a client of Morgan Stanley contested Corey Engelhard’s sales practices, according to a complaint dated October 10, 2022. Allegedly, Engelhard provided unsuitable advice. Supposedly, Engelhard caused the client to sustain damages on UITs. Therefore, the client sought compensatory relief from Morgan Stanley or Engelhard. However, the securities firm denied this complaint.
Particularly, a client of Wachovia Securities LLC contested Corey Engelhard’s sales practices, according to a complaint. Allegedly, Engelhard failed to explain risks to the client. Supposedly, Engelhard caused the client to sustain damages on auction rate securities. Therefore, Wachovia Securities LLC opted to settle the matter on August 15, 2008, by compensating the client in the amount of $75,000.
Also, a Wachovia Securities LLC client filed a complaint about Corey Engelhard. Namely, the client alleged that Engelhard placed the client in ARS products which resulted in illiquidity. Because of this, the client allegedly sustained damages on auction rate securities. Therefore, on August 15, 2008, Wachovia Securities LLC settled this matter by paying the client $575,000 in damages.
Engelhard joined Morgan Stanley as a securities broker and financial advisor in December 2014.
Did you suffer damages by investing with Corey Engelhard? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with a skilled securities attorney about a possible recovery of your investment losses. Soreide Law Group, who has helped recover money for investors within all 50 states, represents clients on a contingency fee basis and advances all costs. Engelhard and brokerage firms Engelhard worked for deny any and all accusations of sales-related misconduct.
Investors apparently complained about securities broker Timothy Roark (also known as Tim Roark) [CRD: 5949136, Gainesville, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roark worked for Valmark Securities Inc. from September 16, 2011, to February 28, 2025, and has also been associated with Koss Olinger Company and Koss-Olinger Consulting LLC in […]
Investors have reportedly disputed the sales practices of securities broker Alvaro Mauricio Jiron [CRD: 4226147, Coral Gables, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jiron worked for Infinex Investments Inc. from July 5, 2016, to February 20, 2023, before joining LPL Financial LLC on February 24, 2023, where […]
Investors potentially experienced sales practice violations by securities broker Diana Chernyhovsky (also known as Diana Thernihovsky) [CRD: 4726460, Vernon Hills, Illinois], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chernyhovsky worked for Equitable Advisors LLC from January 22, 2004, to the present as a broker and since September 23, 2005, as […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com