Morgan Stanley Broker, Robert Brinckerhoff, Has Five Customer Complaints and Five Regulatory Matters Disclosed On His CRD
Robert Brinckerhoff (CRD # 823695) is a Financial Advisor at Morgan Stanely in Burlington, VT. Robert Brinckerhoff has been in the securities industry since 1976 and previously worked at Merrill Lynch in Palm Beach, FL.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Robert Brinckerhoff has five customer complaints disclosed on his CRD, including the following:
- July 2019 – CLIENT ALLEGED THAT THE PURCHASE OF A STRUCTURED PRODUCT IN HER ACCOUNT IN 2017 WAS UNSUITABLLE.” Alleged damages are $60,000 and the matter is currently pending.
- January 1999 – “CLIENT ALLEGES THAT HIS MERRILL LYNCH FINANCIAL CONSULTANT MISREPRESENTED THE COSTS AND ASSOCAITED WITH TAKING LOANS FROM HIS VARIABLE LIFE INSURANCE POLICY.” The matter setted for $75,330.
- March 1995 – “CUSTOMER COMPLAINT OF ILLIQUIDITY IN RETIREMENT PLAN WHEN NEEDED FOR DISTRIBUTION AS A RESULT OF CLOSING COMPANY.” The matter settled for $200,000.
For a copy of Robert Brinckerhoff’s’s CRD, click https://brokercheck.finra.org/individual/summary/823695.
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
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