Haselkorn & Thibaut (investmentfraudlawyers.com), a renowned national securities fraud law firm with over 50 years of combined experience and a 98% success rate, has opened an investigation into Jean-Pierre Gobic (Morgan Stanley, Sarasota, FL). If you are a current or former client of Jean-Pierre Gobic, this research-driven report will help you assess key background information, investor risks, and your options for recovery. Read on for an in-depth review, including a complete list of complaints, red flags, and how Haselkorn & Thibaut can support you with a free, confidential consultation.
Who is Jean-Pierre Gobic?
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Jean-Pierre Daniel Gobic (CRD# 4380699) is a registered financial advisor and broker working out of Morgan Stanley’s Sarasota, Florida office. With a career spanning over 24 years, Gobic maintains both broker and registered investment adviser licenses. He is currently licensed in 42 states and regulated by FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange. As of this report, he is actively registered and servicing clients at:
- Address: 2 North Tamiami Trail, Suite 1100, Sarasota, FL 34236
- Broker-Dealer: Morgan Stanley (CRD# 149777)
- Active Since: March 2010 (Morgan Stanley)
Previously, Gobic worked with UBS Financial Services in Sarasota, FL, from 2001 until 2010, further highlighting his deep roots in the Sarasota area and industry stability, having represented only two major financial institutions over his career.
Summary Table: Professional Background
| Advisor Name | CRD Number | Firm | Location | Industry Tenure | Licenses | SROs |
|---|---|---|---|---|---|---|
| Jean-Pierre Gobic | 4380699 | Morgan Stanley | Sarasota, FL | 24 years | 42 states | FINRA, NYSE, Nasdaq, NYSE American |
Disclosure History – List of Complaints Against Jean-Pierre Gobic
Investors should always be aware of an advisor’s public disclosure history, as recorded on the FINRA BrokerCheck system. Gobic’s disclosure record shows three customer complaints — one currently pending, two settled in the past. While a single complaint does not always indicate a pattern of behavior, multiple disclosures—especially recent or pending cases—offer valuable context for investors.
| Date | Status | Allegations | Settlement/Damages | Product/Strategy Type |
|---|---|---|---|---|
| Nov 1, 2024 | Pending | Alleged violations of Reg BI & misrepresentation linked to alternative investment strategies (2021–2023) | Not disclosed (resolution pending) | Private Securities |
| Apr 9, 2008 | Settled | Complaint related to Auction Rate Securities sales before the 2008 market crisis | $25,000 (firm-wide regulatory settlement) | Auction Rate Securities |
| Mar 7, 2008 | Settled | Complaint related to Auction Rate Securities sales before the 2008 market crisis | $100,000 (firm-wide regulatory settlement) | Auction Rate Securities |
Key Concerns for Current & Potential Investors
- Pending Customer Dispute (2024): The most recent disclosure, filed November 1, 2024, remains unresolved as of this report. The claim alleges violations of Regulation Best Interest (Reg BI) and misrepresentation involving alternative investment products (private securities) between 2021 and 2023. No damages have been granted or settlement reached. Such allegations can be serious for investors in alternative strategies, making it important to watch for regulatory findings or resolutions.
- Past Settlements (2008): Two client complaints during 2008—both tied to the industry-wide collapse in Auction Rate Securities liquidity—resulted in a total settlement amount of $125,000. These settlements were part of firm-wide repurchase agreements and, according to records, not the result of findings against Gobic personally. The context, however, is still meaningful to any client who purchased similar complex securities.
- No Regulatory Bar or Disciplinary Proceedings: There have been no formal regulatory actions, suspensions, or bars reported against Gobic by industry authorities.
- Professional Stability: Gobic has a 24-year track record and has only been affiliated with two major financial firms in Sarasota, FL. This history reflects employment stability, but the nature of ongoing and past complaints is important to evaluate in the full context of advisor-client relationships and suitability analysis.
What Investors Should Watch For
- Any new developments or resolutions in the pending 2024 customer dispute
- Additional disclosures related to Reg BI violations or alternative investment recommendations
- Updates from regulatory bodies or Morgan Stanley regarding Gobic’s status
- Changes in Gobic’s firm affiliation, registration, or licensing
If you are a current or former client who invested in alternative or private securities through Gobic at Morgan Stanley, you may wish to have your account or investment transactions independently reviewed, especially if you sustained unexpected losses or believe you were not properly informed about investment risks.
What to Do If You Have Concerns or Losses
If you have concerns about recommendations, misrepresentations, or alternative investments handled by Jean-Pierre Gobic at Morgan Stanley in Sarasota, FL, you are encouraged to seek experienced, independent legal counsel. Haselkorn & Thibaut’s team of national investment fraud attorneys offers free, 100% confidential consultations to review your situation and discuss potential options for restitution. With over 50 years of combined legal experience and a 98% recovery rate, their team has successfully helped hundreds of investors recover millions of dollars lost due to advisor misconduct or unsuitable recommendations. There are no fees unless you recover funds.
Call to Action — Protect Your Rights as an Investor
Ready to review your investments or file a complaint? If you or a loved one worked with Jean-Pierre Gobic at Morgan Stanley in Sarasota, FL and have lost money, act quickly to preserve your legal options. Contact Haselkorn & Thibaut for a free, confidential case evaluation.
Call Haselkorn & Thibaut: 1-888-885-7162
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