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Linh Tran: Investor Complaint Against Palo Alto Advisor

Morgan Stanley financial advisor Linh Tran (CRD# 4981423) recently received an investor complaint alleging she provided misleading advice. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Palo Alto, California.

Ms. Tran’s BrokerCheck report discloses one investor complaint. Filed in August 2022, it alleges that as a representative of Morgan Stanley, she misrepresented the liquidity of a direct investment. The pending complaint alleges unspecified damages. 

Misrepresentation occurs when a broker or investment advisor provides false or misleading information regarding an investment or investment strategy. A broker may engage in fraudulent misrepresentation, the intentional provision of misleading information to deceive the customer into making an investment, or they may engage in negligent misrepresentation, in which the misleading information is a product of carelessness. Common forms of misrepresentation include those regarding the risk or liquidity of an investment. Investors who suffer losses on investments that were misrepresented may be able to bring a claim against their broker. 

According to the Financial Industry Regulatory Authority, Linh Tran holds 15 years of securities industry experience. Based in Palo Alto, California, she has been a broker and an investment advisor with Morgan Stanley since 2009. She was previously registered with Morgan Stanley & Company in Palo Alto from 2007 until 2009. Her credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. She is licensed in Arizona, California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Hawaii, Idaho, Maryland, Michigan, Nevada, New Mexico, North Carolina, New York, Oregon, Pennsylvania, Texas, Virginia, Washington, and Wyoming. (Information current as of September 28, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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