Articles Tagged with Morgan Stanley

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Roxann Seaton (Seaton), 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 Seaton  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 $170,000.00  on March 05, 2020.

Claimant’s POA agent alleged, inter alia, excessive trading with respect to investments. Sept 2012 to Feb 2019

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

FINRA BrokerCheck shows a settled customer complaint on March 18, 2020.

Client alleges that his fa sold a municipal bond in her account without her authorization. Damages unspecified, 2020

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

FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.

Client alleged that he instructed fa to reduce equities from 40% to 30% and move the 60% in fixed income in his managed account to cash in late February 2020. Damages unspecified

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

FINRA BrokerCheck shows a settled customer complaint on March 26, 2020.

Client alleges failure to follow instructions with respect to risk of investments and their liquidation. 2020 damages unspecified

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Kramer (Kramer), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kramer 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 $300,000.00  on April 07, 2020.

Attorney alleged, inter alia, excessive trading with respect to investments in account – January 2018 thru December 2019

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

FINRA BrokerCheck shows a settled customer complaint on July 17, 2020.

Attorney for estate alleged, inter alia, that new FA team did not prevent conversion of funds by POA from accounts of now deceased client- 2013 to 2019

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

FINRA BrokerCheck shows a settled customer complaint on July 17, 2020.

Attorney for estate alleged, inter alia, that new FA team did not prevent conversion of funds by POA from accounts of now deceased client- 2013 to 2019

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

FINRA BrokerCheck shows a settled customer complaint on July 31, 2020.

The customer alleges unauthorized trading on July 30, 2020.

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

FINRA BrokerCheck shows a settled customer complaint on April 14, 2020.

Client complained that the financial advisor failed to terminate the advisory accounts as instructed. (3/19/2019-1/27/2020)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Berg (Berg), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Berg 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 $300,000.00  on April 07, 2020.

Attorney alleged, inter alia, excessive trading with respect to investments in account – January 2018 thru December 2019.

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