Articles Tagged with Morgan Stanley

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Peterson (Peterson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Peterson 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 $5,000.00 on July 22, 2021.

CLIENT’S ATTORNEY ALLEGES FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO INVESTMENTS 2018-2021

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

FINRA BrokerCheck shows a settled customer complaint on July 29, 2021.

CLIENT VERBALLY ALLEGED IN APRIL 2021 THAT SHE DID NOT AUTHORIZE THE SALE OF  2000 SHARES OF SMED WHICH HAD BEEN SOLD IN HER ACCOUNT BACK IN DECEMBER 2018. THE CLAIM WAS SETTLED FOR $30,283.59.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Miecuna (Miecuna), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miecuna 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 $50,000.00 on July 22, 2021.

Claimant alleges that she gave a loan to her Financial Advisor in the amount of $50,000.00 and he is unable to pay her back.

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Neil Kaplan (Kaplan), previously associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Kaplan  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $240,000.00 on August 03, 2021.

Claimant alleges, inter alia, excessive trading with respect to investments –  Jan 2015 – Dec 2015

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

FINRA BrokerCheck shows a settled customer complaint on July 30, 2021.

Claimant alleged failure to supervise with respect to Financial Advisor’s management of accounts – May 2017 to July 2018.

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

FINRA BrokerCheck shows a settled customer complaint on August 24, 2021.

CLIENT ALLEGED, INTER ALIA, THAT  THE PURCHASE OF AN ALTERNATIVE INVESTMENT CRYPTOCURRENCY FUND WAS MISREPRESENTED. –  May 2021  to June 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Rochester (Rochester), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Rochester 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 $1,238,518.30 on September 03, 2021.

Rochester was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty and associated misrepresentations; breach of fiduciary; fraud in connection of breach of fiduciary duty; negligent misrepresentation associated with breach of fiduciary duty; breach of suitability rules; breach of diligence rules; breach of know your customer rules; breach of commercial honor and just and equitable principles of trade; fraud in connection with breach of FINRA rules; negligent misrepresentation in connection with FINRA rules; negligence; breach of contract; and breach of covenant of good faith and fair dealing.

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

FINRA BrokerCheck shows a settled customer complaint on September 14, 2021.

Attorney for client alleged unauthorized trading with respect to equity investment – January 20, 2015

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2021.

PARTNER ON FAMILY LP ALLEGES THAT ADVISORY ACCOUNT FEES WERE NOT PROPERLY DISCLOSED  DAMAGES UNSPECIFIED   2011 – 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ron Phillips (Phillips), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Phillips 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 $250,000.00 on October 14, 2021.

Claimant alleged that Respondents mismanaged his discretionary account by investing in unsuitable securities that underperformed the S&P 500

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