Articles Tagged with Michael Farrell

Broker Michael Farrell in Aegis Capital Corp. Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Farrell (Farrell), previously associated with Aegis Capital Corp., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Farrell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $190,873.62 on April 26, 2021.

Time frame: December 2012 – November 2020. Claimants allege unsuitable investment recommendations.

Broker Michael Farrell in Morgan Stanley Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Farrell (Farrell), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Farrell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on March 16, 2023.

Claimants alleges, failure to supervise with respect to Financial Advisor’s management of accounts 2019 – 2022