Investors have come forward with complaints about Seth Gordon Mason [CRD: 1540891, Grand Rapids, Michigan]. Evidently, the securities broker, who worked for Morgan Stanley Smith Barney, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley Smith Barney clients allege that Mason engaged in unsuitable trading. For more on these disclosures about Mason, see below. Keep in mind that the broker denies the allegations against him.
Particularly, a client of Morgan Stanley Smith Barney contested Seth Mason’s sales practices by filing FINRA Arbitration: 23-01428 on May 17, 2023. Allegedly, Mason engaged in unsuitable trading in client accounts. It appears that Mason caused the client to sustain damages. Therefore, the client seeks compensatory relief from Morgan Stanley Smith Barney or Mason.
Specifically, a Salomon Smith Barney Inc. client filed a complaint about Seth Mason. Namely, the client alleged that Mason made unsuitable recommendations. Because of this, the client allegedly sustained damages on stocks and over-the-counter equities. Therefore, on March 8, 2021, Salomon Smith Barney Inc. settled this matter by paying the client $11,881 in damages.
Also, a client of MSSB contested Seth Mason’s sales practices, according to a complaint. Allegedly, Mason engaged in unsuitable trading. Supposedly, Mason caused the client to sustain damages on mutual funds and unit investment trusts. Therefore, MSSB opted to settle the matter on March 8, 2021, by compensating the client in the amount of $11,881.
Evidently, a Salomon Smith Barney Inc. client filed a complaint about Seth Mason. Namely, the client alleged that Mason engaged in unauthorized trading. Because of this, the client allegedly sustained damages on stocks. Therefore, on February 9, 2001, Salomon Smith Barney Inc. settled this matter by paying the client compensation.
Seth Mason worked for Morgan Stanley Smith Barney as a securities broker from 2009 to 2022.
Did you sustain losses through Seth Mason? If so, get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group, a firm that has recovered money for investors throughout the United States, works on a contingency fee basis and advances all costs. Mason and brokerage firms Mason worked for deny any and all allegations of sales practice violations.
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