Articles Tagged with Morgan Stanley

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Payne (Payne), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Payne 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 $15,531,642.00 on January 19, 2022.

Client alleged FA made misrepresentations and unsuitable recommendations related to options trading strategy. 2018 to 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wagner (Wagner), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wagner 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 $15,531,642.00 on January 19, 2022.

Client alleged FA employed unsuitable options investment strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Dickson (Dickson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dickson 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 $12,000.00 on January 25, 2022.

Client alleged misreprsentation with respect to rate of fees charged on managed accounts  2012 – 202121

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Karen Chung (Chung), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Chung 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 $16,440,221.00 on February 16, 2022.

Failure to Supervise

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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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