John Rochester Investigation
November 2021- Santa Fe, NM
According to publicly available records, John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 10/2021 a customer of Morgan Stanley file FINRA case 21-2264 alleging that Rochester made unauthorized trades in their account beginning in 2013 and is seeking damages of $600,000.
In 1/20210, a customer of Morgan Stanley was paid over $60,000 to resolve allegations that Rochester made misrepresentations in connection with the sal of a variable annuity.
Rochester began working for Morgan Stanley in 6/2009.
If you have losses in an account handled by John A. Rochester, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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