While many attorneys can identify potential securities law violations and assert claims such as negligence or breach of fiduciary duty,...
Read MoreBarry Speyer: Complaints Against Beverly Hills Financial Advisor
Settled and pending investor complaints against Beverly Hills, California broker and investment advisor Barry Speyer (CRD#: 432002) allege conduct including suitability violations, unauthorized trading, and more. Speyer is a representative of Morgan Stanley, according to information drawn from Financial Industry Regulatory Authority records.
A pending August 2019 complaint alleges that as a representative of Morgan Stanley Smith Barney, Barry Speyer recommended unsuitable options investments between August 2007 and August 2013. The complaint alleges damages of $750,000.
A pending January 2019 complaint alleges that as a representative of Morgan Stanley Smith Barney, Barry Speyer recommended unsuitable investments in common and preferred stock products and options products. The complaint alleges unspecified damages.
A 2009 complaint alleged that as a representative of Morgan Stanley & Company, Barry Speyer recommended unsuitable investments in auction rate securities. The complaint reached a settlement of $250,000.
A 2003 complaint alleged that as a representative of Morgan Stanley DW, he engaged in unauthorized options trading. The complaint resolved with an award to the customer of $18,030.
A 1991 complaint alleged that as a representative of Dean Witter Reynolds, he engaged in unsuitable options trading in the customer’s account The complaint resolved with an award to the customer of $125,000 plus interest.
A 1989 complaint alleged that as a representative of Dean Witter Reynolds, he engaged in unsuitable trading, including trading on margin. The complaint reached a settlement of $95,000.
Barry Speyer has been registered as a broker and investment advisor with Morgan Stanley in Beverly Hills, California since 2009. His employment history includes Morgan Stanley & Company in Beverly Hills, California; Morgan Stanley DW in Beverly Hills, California; Dean Witter & Company; and Bell Securities Corporation. He currently holds 34 state licenses and has passed four securities industry qualification examinations.
