February 5, 2024

Keith Kordich In Morgan Stanley Client Suitability Disputes

Bad Broker Advice?

Soreide Law Group is evaluating potential claims for investors who've faced losses due to Keith Matthew Kordich [CRD: 2743797, Boca Raton, Florida]. Kordich has been associated with Ameriprise Financial Services LLC since January 2019, after his time with Morgan Stanley. Notably, the FINRA BrokerCheck report on Kordich reflects several client disputes, particularly involving claims of unsuitable investment advice. Below is a summary of the disclosures linked to Keith Kordich.

Unsuitability Claims Against Kordich At Morgan Stanley

A client of Morgan Stanley filed FINRA Arbitration No. 19-00463 about Keith Kordich. The claim focused on unsuitability of investment advice from 2012 to 2015, impacting investments in stocks. Morgan Stanley resolved this issue by compensating the client $50,000 on January 14, 2020.

Excessive Trading Allegations At Morgan Stanley Smith Barney Involving Keith Kordich

A client of Morgan Stanley Smith Barney raised concerns about Keith Kordich's trading activities in FINRA Arbitration No. 13-01114. The client accused Kordich of excessive trading from May 2011 to September 2012, leading to damages in variable annuities and stocks. The matter concluded with Morgan Stanley settling for $43,000 on March 12, 2014.

Misrepresentation Allegations Against Kordich Filed By Ladenburg Thalmann Co. Inc. Client

A Ladenburg Thalmann Co. Inc. client disputed Kordich's sales practices in a complaint dated July 16, 2001. The allegations included unsuitable recommendations, misrepresentation, and unauthorized activities in several accounts. The client, who reportedly suffered damages in equities and promissory note products, sought $500,000 in compensation from Ladenburg Thalmann Co. Inc. or Keith Kordich.

Misrepresentation And Breach Of Duty Claims Against Kordich By Ladenburg Thalmann Co. Inc. Client

Another client of Ladenburg Thalmann Co. Inc. filed NASD Arbitration No. 00-05618 against Keith Kordich, citing breach of fiduciary duty, misrepresentation, and breach of contract. The claims revolved around investments in over-the-counter equities, leading to a settlement of $9,500 by Ladenburg Thalmann Co. Inc. on October 23, 2001.

Connect With Soreide Law Group For Resolution

If you've encountered investment losses due to Kordich, consider reaching out to Soreide Law Group online or at (888) 760-6552 for potential recovery options. Soreide Law Group, known for recovering investor losses across the United States, operates on a contingency fee basis and advances all costs.. Keith Kordich and his former employers deny any allegations of sales practice violations.

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