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Expert Review

James Hansberger: Has FINRA Charged Him or not? Disclosed! (Update 2024)

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Who is James Hansberger (CRD#: 600817)?Everything you need to know about James Hansberger and their accolades

James is a Senior Portfolio Management Director and Private Wealth Advisor at The Hansberger Group at Morgan Stanley. Jim is the founder of The Hansberger Group at Morgan Stanley, a comprehensive wealth management platform with an investment management group embedded within. Jim is a native of Atlanta, Georgia, and has been married to his wife, Lyn, since 1968. They have two children, Yancey and Jim, Jr., and seven grandchildren.

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About Morgan Stanley Wealth Management:History, achievements, leadership, lawsuits, & disputes

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.

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.

What is SEC?

The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.

21/12/2023 Update
As of now, James Hansberger has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.
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James Hansberger Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, litigation against James Hansberger

BrokerCheck report of James Hansberger includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosures events.

As per the report, the 2 Customer Dispute disclosures have been reported against James Hansberger.

Such a disclosure event entails-

(1) the dismissal, withdrawal, or denial of a consumer-initiated, investment-related arbitration or civil lawsuit comprising claims of sales conduct violations against the specific broker, or

(2) a written complaint filed by a customer alleging that a broker violated sales practices that resulted in compensatory damages of at least $5,000 in fraud, theft, misappropriation, or conversion of funds or securities, which was dismissed, withdrawn, or closed without resolution.

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 disputes in the past.

FINRA’s BrokerCheck

JAMES CLYDE HANSBERGER – Broker at MORGAN STANLEY (finra.org)

SEC Litigations & Forms

James Hansberger

Source: James Hansberger – SEC Site Search Search Results

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James Hansberger Lawsuits, Legal Battles, & DisputesActive database of all lawsuit documents (subject to availability) against James Hansberger

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

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James Hansberger Complaints, Class Action Lawsuits & Legal BattlesRead all class action lawsuits and SEC complaints against James Hansberger (if available)

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

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

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Better Alternatives to James Hansberger (By Experts):Find the top 3 alternatives to James Hansberger

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
You can check out the top 10 financial advisors in the U.S. to learn more.
Screenshot 2023 05 23 at 11.26.30 PM

Manages Assets Worth

  • $714,587,898,072

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors
  • Publication of periodicals
1625686851535

Manages Assets Worth

  • $173,418,270,044

Services

  • Financial planning
  • Portfolio management
  • Portfolio assessment
Screenshot 2023 05 23 at 11.45.48 PM

Manages Assets Worth

  • $46,803,858,104

Services

  • Portfolio management

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