National investment loss lawyers KlaymanToskes is investigating broker Ryan Caldwell (CRD #6642132) of AIML Trading Partners, and formerly of Morgan Stanley.
According to FINRA BrokerCheck, Ryan Caldwell, a former Morgan Stanley broker now with AIML Trading Partners, is facing a pending investor dispute seeking $1,200,000 in investor damages for allegedly making unauthorized options trades. Caldwell was terminated from Morgan Stanley in May 2023 for using unapproved communication channels to send information to a client about a private securities transaction, and also reportedly sent unsecured emails to communicate client information.
Investors that suffered losses with broker Ryan Caldwell are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
A dispute filed on September 20, 2024, alleges that Ryan Caldwell conducted unauthorized options trades, resulting in damages of $1.2 million to the customer. FINRA Rule 2010 requires brokers to maintain high standards of commercial honor, while FINRA Rule 3260 prohibits discretionary trading without prior written customer authorization and firm approval. In May 2023, Caldwell was discharged from Morgan Stanley in connection with allegations that “employee used an unapproved third-party communication application to send written communications to a client about a private securities transaction, and sent unsecured emails to communicate client information.”
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Ryan Caldwell, or have concerns regarding your investment portfolio at Morgan Stanley, AIML Trading Partners, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.