Articles Tagged with Morgan Stanley

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

FINRA BrokerCheck shows a pending customer complaint on May 12, 2025.

Client alleges, inter alia, that her advisor made unsuitable investment recommendations to invest in alternative investments and that her financial qualifications were falsified on her account in order for her to be approved to invest 2014-2017

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

FINRA BrokerCheck shows a pending customer complaint on May 15, 2025.

Client alleges, inter alia, breach of fiduciary duty with respect to recommendation to enter stop-loss order  2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hedgspeth (Hedgspeth), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hedgspeth 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 $30,216.00 on July 18, 2023.

Customer alleges poor recommendation/advice and misrepresentation in 2022, resulting in high tax implications.

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

FINRA BrokerCheck shows a settled customer complaint on July 19, 2023.

The client alleges her former advisor recommended she transfer funds from her employer sponsored plans to a managed account without mentioning that the income from one of the plans is tax exempt from NY state. She claims the formerly tax-exempt income from the retirement account was made taxable when commingled with the other plan which has caused her city and state tax obligations to increase each year since 2019. She asks to be compensated.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Holmeen (Holmeen), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Holmeen 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 $168,000.00 on August 07, 2023.

Claimants allege, inter alia, unsuitability with respect to investments in accounts – 2021 – 2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Capobianco (Capobianco), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Capobianco 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 $168,000.00 on August 07, 2023.

Claimants allege, inter alia, unsuitability with respect to investments in accounts – 2021 – 2023

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

FINRA BrokerCheck shows a settled customer complaint on August 18, 2023.

CLIENT’S WIFE/POA ALLEGES, INTER ALIA, THAT THE INVESTMENT STRATEGY IMPLEMENTED IN THE CLIENT’S ACCOUNT WAS UNSUITABLE  2021-2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Beers (Beers), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Beers 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 August 29, 2023.

Claimant alleges, inter alia, unsuitability with respect to variable annuity investment-  June 2021 to Feb 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlo Licata (Licata), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Licata 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 September 12, 2023.

Claimant alleges, inter alia, that his accounts were not managed in his best interests 2022-2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Monken (Monken), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Monken 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 $750,000.00 on September 21, 2023.

Claim alleges, inter alia, that the trading strategy implemented in the client’s account was not in her best interest 2020-2022

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