Investors may have incurred losses because of securities broker Michael Alan Robertson [CRD: 1634076, Greensboro, North Carolina], based on public information reported on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Robertson worked for Morgan Stanley from June 1, 2009 to January 9, 2025. See the following information to find out more about the securities broker’s disclosures.
Evidently, a client filed a complaint about Michael Alan Robertson. Mainly, the client alleged that Robertson engaged in unauthorized transactions. Because of this, the client allegedly experienced damages linked to CDs and corporate bonds. Therefore, on October 8, 2024, Morgan Stanley settled this matter by paying the client $20,000.00 in damages.
In addition, a client of Morgan Stanley contested Michael Robertson’s sales practices, according to a complaint dated October 15, 2019. Allegedly, Robertson made misrepresentations regarding equity-indexed annuities. Consequently, the client sought compensation from Morgan Stanley or Robertson in an unspecified amount in this matter. However, the firm denied this complaint.
Also, a client of Salomon Smith Barney took aim at Michael Robertson’s sales practices, based on a complaint dated July 9, 2001. Supposedly, Robertson gave false assurances to the client regarding investment management and risks. Robertson also allegedly recommended a managed account to earn more in compensation from the client. It appears that Robertson allegedly caused the client to sustain damages relating to over-the-counter equities and stocks. So, the client sought compensation from Salomon Smith Barney or Robertson in the amount of $50,000.00 in this matter, which the firm denied.
Additionally, a client of Salomon Smith Barney contested Michael Robertson’s sales practices, according to a complaint dated October 30, 2001. Allegedly, Robertson failed to follow instructions concerning the sale of real estate investment trusts. Consequently, the client sought compensation from Salomon Smith Barney or Robertson in the amount of $12,923.00 in this matter. On December 26, 2001, Salomon Smith Barney settled this matter by paying the client $12,923.00 in damages.
Did you experience losses because of Michael Alan Robertson? You can get in touch with Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney regarding a possible recovery. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm takes cases on a contingency fee basis and advances the costs. Robertson and brokerage firms Robertson worked for deny accusations of sales practice violations.
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