Morgan Stanley

Broker Matthew Genco in Morgan Stanley Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Genco (Genco), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Genco 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 $5,162,453.00 on November 03, 2020.

Claimants alleged misrepresentation with respect to option strategy in managed accounts – January 2019 to January 2020.

Broker Carol Brookman in Morgan Stanley Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 05, 2020.

Trustee alleges that they did not authorize trades in their trust account in November 2019 which resulted in significant tax ramifications damages unspecified

Broker Sumitro Pal in Morgan Stanley Firm Has Customer Complaint

March 21, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Sumitro Pal (Pal) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Pal was employed by Morgan Stanley at the time of the activity. If you have been a victim of Pal’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $75,000.00 on November 13, 2020.

Claimant alleges, inter alia, selling away with respect to investments – Oct, 2007

There are Recent Customer Complaints with Broker Michael Douvadjian in Firm Morgan Stanley

March 17, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 09, 2020.

Time Frame: September 2, 2020 to October 14, 2020\<char_lb_r>\, \<char_lb_r>\, What were the allegations against the individual? \<char_lb_r>\, The client alleges that her Financial Advisor failed to follow her instructions to complete and submit the necessary documents so her assets would not be escheated to the state. The alleged damages are in excess of $5,000.00.

Broker Todd Wachsman in Morgan Stanley Firm Has Customer Complaint

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Wachsman (Wachsman), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wachsman 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 $1,600,000.00 on January 26, 2021.

Todd Wachsman was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duties; fraud; negligence and/or gross negligence; breach of contract and breach of the implied covenant of good faith and fair dealing; unjust enrichment; violation of industry rules; violation of the Securities Exchange Act of 1934 and Rule 10B-5; suitability; and failure to supervise

There are Recent Customer Complaints with Broker David Wachsman in Firm Morgan Stanley

March 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Wachsman (Wachsman), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wachsman 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 $1,600,000.00 on January 26, 2021.

David Wachsman was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duties; fraud; negligence and/or gross negligence; breach of contract and breach of the implied covenant of good faith and fair dealing; unjust enrichment; violation of industry rules; violation of the Securities Exchange Act of 1934 and Rule 10B-5; suitability; and failure to supervise

There are Recent Customer Complaints with Broker John Egan in Firm Morgan Stanley

March 9, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Egan (Egan), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Egan 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 $3,100,000.00 on February 04, 2021.

Claimant alleges, inter alia, unsuitability with respect to concentration in energy sector equity investment – 2015

Broker James Pucciarelli in Morgan Stanley Firm Has Customer Complaint

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pucciarelli (Pucciarelli), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pucciarelli 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 $200,000.00 on February 11, 2021.

Claimant alleges, inter alia, unsuitability with respect to equity investment – Aug 2015 to Jul 2020

There are Recent Customer Complaints with Broker Eric Kleiner in Firm Morgan Stanley

March 3, 2026 | by Staff Attorney

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 with a damage request of $165,000.00 on January 13, 2026.

Claimants allege, inter alia, that FA recommended investment in an outside investment security that was not approved by MS from November 2018 to March 2025.

There are Recent Customer Complaints with Broker Matthew Remis in Firm Morgan Stanley

February 28, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on March 03, 2021.

Given Matthew H. Remis’ three (3) disclosure incidents, the Massachusetts Securities Division is allowing his registration as an investment adviser representative in Massachusetts pursuant to a two (2) year plan of heightened supervision.