Articles Tagged with Morgan Stanley

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

FINRA BrokerCheck shows a pending customer complaint on May 26, 2026.

Client alleged that he did not authorize the establishment of a discretionary managed account or any of the trades that were made May 2026

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

FINRA BrokerCheck shows a pending customer complaint on April 17, 2026.

Client complained about the fees he was being charged in his managed account and alleged that it was not in his best interest for the fees not to be lowered when accounts were inherited by new fa   2025-2026

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

FINRA BrokerCheck shows a pending customer complaint on April 29, 2026.

Client alleges, inter alia, that covered call option strategy was misrepresented and not suitable for her 2025

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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 on April 30, 2026.

Claimants allege, inter alia, that FA recommended investment in an outside investment security that was not authorized by MS -2016 to 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Benjamin Sweeney (Sweeney), currently associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Sweeney 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 $1,300,000.00 on April 30, 2026.

Claimant alleges, inter alia, municipal bond investment strategy was not in their best interest – Feb 2014 to Feb 2026.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leta Davis (Davis), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Davis 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 $25,000.00 on May 11, 2026.

Client alleged that he was given incorrect investment advice when he was advised that he did not qualify for preferred certificates of deposits offered by morgan stanley which led to him investing in a fee based managed account and missing out on the preferred interest he could have earned. 2025-2026

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blair Horne (Horne), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Horne 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 $317,788.98 on August 19, 2020.

Plaintiff alleges, inter alia, failure to follow instructions with respect to liquidation of Stock Option – Feb 06, 2020 to Feb 07, 2020

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Carayanis (Carayanis), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Carayanis 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 $3,303,000.00 on November 11, 2025.

Client alleges, inter alia, unsuitability with respect to the management of their account 2024 – 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Becraft (Becraft), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Becraft 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 $2,000,000.00 on February 06, 2026.

Claimant alleged FA employed unsuitable options trading strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Forrest (Forrest), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Forrest 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 $2,000,000.00 on February 06, 2026.

Claimant alleged FA employed unsuitable options trading strategy.

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