Articles Tagged with Morgan Stanley

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jeffrey Cadan (Cadan), previously associated with Morgan Stanley, has been subject to at least 3 disclosable events. These events include 3 customer complaints. Several of those complaints against Cadan  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 on July 02, 2020.

Claimants allege, inter alia, Excessive trading with respect to investments – July 2014 to December 2016

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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 one disclosable event. These events include one customer complaint, 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 one disclosable event. These events include one customer complaint, 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 one disclosable event. These events include one customer complaint, 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 Kevin Butler (Butler), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $1,590,295.00 on December 31, 2020.

Claimant alleges, inter alia, failure to follow instructions with respect to option investment – Feb, 2020

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2021.

Client alleges that she did not authorize the sale of stocks in her trust account in January 2020.  damages unspecified

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Deichmann (Deichmann), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Deichmann 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 $350,000.00 on June 07, 2024.

Client alleged that an options trading strategy was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Masters (Masters), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Masters 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 $2,500,000.00 on December 05, 2025.

Claimant alleges negligence, gross negligence, breach of fiduciary duty, aiding and abetting fraud, aiding and abetting conversion, interference with inheritance, and violation of customs and standards of the securities industry.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Sperber (Sperber), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Sperber 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 $2,500,000.00 on December 05, 2025.

Claimant alleges negligence, gross negligence, breach of fiduciary duty, aiding and abetting fraud, aiding and abetting conversion, interference with inheritance, and violation of customs and standards of the securities industry.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Jackson (Jackson), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $1,300,000.00 on November 21, 2025.

Clients alleged, among other things, that he was overcharged on his investments from 2019-2024.

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