National investment loss lawyers KlaymanToskes is investigating broker Taylor Barden a/k/a Samuel Taylor Barden of Morgan Stanley and Rockefeller Financial (CRD #4323859).
According to FINRA BrokerCheck, broker Taylor Barden a/k/a Samuel Taylor Barden is facing an investor dispute for allegedly maintaining a balance of funds in cash equivalents in a managed account that was subject to advisory fees, which was not in the investor’s best interest. Barden was registered with Morgan Stanley from 2009 to 2024, and is currently registered with Rockefeller Financial in Charlotte, NC
Investors that suffered losses with broker Taylor Barden are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Taylor Barden, a broker previously registered with Morgan Stanley, is involved in an investor dispute, as shown by his FINRA BrokerCheck record. Barden is currently registered with Rockefeller Financial, in Charlotte, NC. The complaint alleges that Barden kept a balance of funds in cash equivalents within the customer’s managed account, which was subject to advisory fees. The investor further alleges that this was not in his best interest. Regulation Best Interest (Reg-BI) is an SEC rule that requires brokerage firms to put their clients’ best interests first. This includes making sure that investment recommendations are suitable for the investor.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Taylor Barden. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encourage 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 Taylor Barden, or have concerns regarding your investment portfolio at Morgan Stanley and/or Rockefeller Financial, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.