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Expert Review

Emily Bach: Exposed to FINRA Charges or not? (Update 2024)

Who is Emily Bach (CRD#: 2286949)?

Emily Bach Morgan Stanley Wealth Management

Emily Bach, Managing Director, Senior Portfolio Management Director, and Wealth Advisor at Morgan Stanley, since 1993. Has been committed to providing her clients with great service and financial planning guidance.
Morgan Stanley’s Bach Group can assist you with developing a personalized financial strategy and making informed decisions regarding your investment portfolios. We have assisted numerous families in precisely defining and achieving their individual objectives and dreams through a robust planning process and sound financial analysis.

We take great satisfaction in establishing long-term, mutually beneficial relationships with our clients based on the greatest levels of trust, integrity, and service. The Bach Group specializes in all elements of financial planning, with a particular emphasis on retirement and legacy preparation. As your trusted investing team, our goal is to match the right assets to your specific goals, objectives, and risk tolerance. The Bach Group will be with you every step of the way.

EMILY HAS BEEN NAMED TO SEVERAL PRESTIGIOUS LISTS

Barron’s Top 100 Women Advisors (2006-2022)
Barron’s Top 1200 Financial Advisors (2021-2022)
Forbes America’s Best-in-State Advisors (2017-2022)
Forbes Top Women Wealth Advisors (2017-2022)
Working Mother’s Top Women Financial Advisor Moms (2017-2020)

About Morgan Stanley Wealth Management:

Morgan Stanley Wealth Management, an American multinational financial services corporation, specializes in retail brokerage and asset management. As a division of Morgan Stanley, it serves a wide range of clients, from individual investors and small-to-mid-sized businesses to large corporations, non-profit organizations, and family foundations. With a strong history and a proven track record, Morgan Stanley Wealth Management has become a leading choice for those seeking expert financial advice and guidance.

Early Beginnings: Smith Barney & Co.

Morgan Stanley Wealth Management has its roots in the 1938 merger of Charles D. Barney & Co. and Edward B. Smith & Co., which formed Smith Barney & Co. Charles D. Barney & Co., founded by Charles D. Barney in 1873, was a New York and Philadelphia-based firm that emerged from the failure of its predecessor, Jay Cooke & Company. Edward B. Smith & Co., founded in 1892, became a significant player in securities underwriting in 1934 after absorbing the professionals from the securities business of Guaranty Trust Company, following the passage of the Glass-Steagall Act.

Morgan Stanley Wealth Management offers a comprehensive suite of financial services to cater to the diverse needs of its clients. Some of these services include:

Investment Management

Morgan Stanley Wealth Management provides a wide range of investment options, including stocks, bonds, mutual funds, exchange-traded funds (ETFs), and more. Their financial advisors help clients develop tailored investment strategies to meet their specific financial goals and risk tolerance levels.

Financial Planning

Financial planning services offered by Morgan Stanley Wealth Management include retirement planning, education planning, estate planning, and more. Their financial advisors work with clients to understand their financial objectives and develop a comprehensive financial plan to help them achieve those goals.

What is a Financial Advisor?

A financial advisor is a specialist who offers professional financial advice to people looking to accomplish particular financial goals. You work with a financial advisor to develop a thorough financial plan that is specific to your situation, much like you would hire an architect to construct the blueprint for your home. Understanding your existing financial condition, including your income, costs, savings, and spending patterns, is a requirement for this collaboration.

Banking and Lending

Morgan Stanley Wealth Management offers banking and lending solutions, such as cash management accounts, mortgages, home equity loans, and lines of credit to help clients manage their day-to-day financial needs and achieve their long-term financial goals.

Insurance and Annuities

To help clients protect their financial future, Morgan Stanley Wealth Management offers insurance and annuity products, including life insurance, long-term care insurance, and annuities, designed to provide financial stability and peace of mind.

Philanthropy and Social Impact Investing

Morgan Stanley Wealth Management offers philanthropic advisory services and social impact investing options for clients who want to align their investments with their values and make a positive impact on society.

9/12/2023 Update
As of now, Emily Bach has not responded, nor has she apologized for her misdeeds. She has ignored our efforts to highlight the problems faced by her victims. Furthermore, she has only focused on propagating her fake PR.

Emily Bach Disclosures: BrokerCheck, FINRA, And SEC

The brokerCheck report of Emily Bach includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, arbitration awards, and disclosure events.

There is no disclosure against Emily Bach.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any conflicts in the past.

BrokerCheck

individual_2286949.pdf (finra.org)

SEC Litigations & Forms

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Source: emily bach – SEC Site Search Search Results

Emily Bach Lawsuits

Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, and Trellis. law, and Law360. If Emily Bach has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against Emily Bach which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Emily Bach on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

Emily Bach Complaints & Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Emily Bach using the websites down below:

You can contact the law firms mentioned above if facing issues with Emily Bach or any financial advisor.

Better Alternatives To Emily Bach:

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
Screenshot 7

Manages Assets Worth

  • $6,427,792,177

Services

  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
Screenshot 8

Manages Assets Worth

  • $4,465,757,285

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
Screenshot 9

Manages Assets Worth

  • $302,000,000

Services

  • Financial planning
  • Portfolio management

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