Articles Tagged with Morgan Stanley

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

FINRA BrokerCheck shows a settled customer complaint on December 09, 2020.

Time Frame: September 2, 2020 to October 14, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges that her Financial Advisor failed to follow her instructions to complete and submit the necessary documents so her assets would not be escheated to the state. The alleged damages are in excess of $5,000.00.

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,600,000.00 on January 26, 2021.

Todd Wachsman was a subject of the customer’s complaint against his member firm that asserted the following causes of action:  breach of fiduciary duties; fraud; negligence and/or gross negligence; breach of contract and breach of the implied covenant of good faith and fair dealing; unjust enrichment; violation of industry rules; violation of the Securities Exchange Act of 1934 and Rule 10B-5; suitability; and failure to supervise

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,600,000.00 on January 26, 2021.

David Wachsman was a subject of the customer’s complaint against his member firm that asserted the following causes of action:  breach of fiduciary duties; fraud; negligence and/or gross negligence; breach of contract and breach of the implied covenant of good faith and fair dealing; unjust enrichment; violation of industry rules; violation of the Securities Exchange Act of 1934 and Rule 10B-5; suitability; and failure to supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Egan (Egan), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 $3,100,000.00 on February 04, 2021.

Claimant alleges, inter alia, unsuitability with respect to concentration in energy sector equity investment – 2015

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pucciarelli (Pucciarelli), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pucciarelli 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 $200,000.00 on February 11, 2021.

Claimant alleges, inter alia, unsuitability with respect to equity investment – Aug 2015 to Jul 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Kleiner (Kleiner), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Kleiner 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 $165,000.00 on January 13, 2026.

Claimants allege, inter alia, that FA recommended investment in an outside investment security that was not approved by MS from November 2018 to March 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Remis (Remis), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Remis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 03, 2021.

Given Matthew H. Remis’ three (3) disclosure incidents, the Massachusetts Securities Division is allowing his registration as an investment adviser representative in Massachusetts pursuant to a two (2) year plan of heightened supervision.

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $2,000,000.00 on March 12, 2021.

Time Frame: February 3, 2020 to April 10, 2020 The client alleges the portfolio was too aggressive. The client further alleges he was issued a loan guaranteed by our portfolio without informing us as to what amount would be taken.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Meier (Meier), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Meier 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 $500,000.00 on March 09, 2021.

Claimant alleges, inter alia, unsuitability with respect to fixed annuities – 2010

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2021.

Customer alleges unauthorized trading on March 23, 2021

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