Articles Tagged with Morgan Stanley

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

FINRA BrokerCheck shows a pending customer complaint on February 14, 2022.

Claimant alleges, inter alia, misrepresentation with respect to annuity investment – 2015 to 2018

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Hollander (Hollander), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hollander 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 $2,500,000.00 on February 17, 2022.

Claimant alleges, inter alia, unsuitability with respect to FA’s recommendation to liquidate shares of an equity security – 2020 to 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lewis (Lewis), currently associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Lewis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 28, 2022.

Client alleged that his best interests were not taken into consideration when he took a lump sum distribution. The client claimed that he received no guidance regarding what was the best way for him to receive inherited funds as a beneficiary of an IRA.

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.

Client alleged investment was unsuitable for her account

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

FINRA BrokerCheck shows a settled customer complaint on March 03, 2022.

Client alleged failure to follow instructions with respect to the investment of her funds in a new managed account strategy 2022

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

FINRA BrokerCheck shows a pending customer complaint on March 08, 2022.

Claimant alleged, inter alia, failure to supervise with respect to Financial Advisor’s management of accounts – 2016 to 2020.

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

FINRA BrokerCheck shows a settled customer complaint on March 14, 2022.

Client alleged, inter alia, that their instructions to liquidate their shares of blackberry stock were not followed  December 2021  damages unspecified

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Furlong (Furlong), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Furlong 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 May 02, 2022.

Time frame: 2018-2021 Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Pickard (Pickard), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pickard 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 $5,200.00 on May 09, 2022.

Client alleged that the Advisor failed to follow the client’s instructions to liquidate her accounts prior to transfer. Allegation period May 3, 2022 to May 9, 2022.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Lawrence Catena (Catena), currently employed by Morgan Stanley has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Catena’s most recent customer complaint alleges that Catena recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on May 10, 2022.

Claimant alleges, inter alia, unsuitability with respect to structured product investments –  December 2021 to May 2022

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