Morgan Stanley

Broker S Powers in Morgan Stanley Firm Has Customer Complaint

July 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker S Powers (Powers), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Powers 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 $550,000.00 on September 26, 2023.

Claimant alleges, inter alia, breach of fiduciary duty with respect to the lack of detection of the alleged outside fraud perpetuated against the client.

Broker Todd Mcbride in Morgan Stanley Firm Has Customer Complaint

July 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Mcbride (Mcbride), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mcbride 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 $500,000.00 on October 02, 2023.

CLIENT’S ATTORNEY ALLEGES, INTER ALIA, THAT THE COVERED CALL STRATEGY RECOMMENDED WAS UNSUITABLE 2019-2023.

Broker Michael Spector in Morgan Stanley Firm Has Customer Complaint

July 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Spector (Spector), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Spector 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 $500,000.00 on October 02, 2023.

CLIENT’S ATTORNEY ALLEGES, INTER ALIA, THAT THE COVERED CALL STRATEGY RECOMMENDED WAS UNSUITABLE 2019-2023.

There are Recent Customer Complaints with Broker Rafael Gonzalez in Firm Morgan Stanley

July 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Gonzalez (Gonzalez), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 $157,779.00 on October 31, 2023.

Plaintiffs allege unsuitable investment recommendations, fraudulent and negligent misrepresentations, and omissions of material information regarding investments in Plaintiffs’ account.

Broker John Tofilon in Morgan Stanley Firm Has Customer Complaint

July 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Tofilon (Tofilon), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Tofilon 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 $340,000.00 on October 30, 2023.

Claimants allege, inter alia, misrepresentation with respect to municipal bonds investment – 2018 to May 2023

There are Recent Customer Complaints with Broker Gregory Libby in Firm Morgan Stanley

June 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 09, 2023.

Client alleges investment strategy implemented in retirement plan was unsuitable.

There are Recent Customer Complaints with Broker Darcy Dahl in Firm Morgan Stanley

June 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darcy Dahl (Dahl), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dahl 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 $100,000.00 on November 14, 2023.

Customer alleges, inter alia, unsuitability with respect to Municipal Bond investments – 2021 to 2022

Broker Marcie Daleo in Morgan Stanley Firm Has Customer Complaint

June 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 17, 2023.

CLIENT ALLEGES, INTER ALIA, THAT PURCHASE OF VARIABLE ANNUITY IN 2022 WAS UNSUITABLE

There are Recent Customer Complaints with Broker Ayad Saad in Firm Morgan Stanley

June 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 04, 2023.

CLIENT ALLEGED THAT IT WAS IMPROPER FOR HER FA TO MAINTAIN HER POSITION IN APPLE IN A MANAGED ACCOUNT INCURING MANAGEMENT FEES WHEN IT WAS KNOWN THAT SHE HAD NO INTENTION OF SELLING ANY OF THE POSITION. DAMAGES UNSPECIFIED 2014-2023

There are Recent Customer Complaints with Broker Marci Coots in Firm Morgan Stanley

June 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marci Coots (Coots), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Coots 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 $300,000.00 on December 07, 2023.

Client alleges, inter alia, that they did not authorize the sale of certain securities in their accounts at the end of 2022