Articles Tagged with Morgan Stanley

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeff Wiley (Wiley), previously associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Wiley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 21, 2023.

CLIENT VERBALLY ALLEGED THAT HE DID NOT GIVE AUTHORIZATION TO PURCHASE THE SECURITIES IN THE ACCOUNT. THE MATTER WAS SETTLED FOR $35,000.00- April 2021-June 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sherrill (Sherrill), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Sherrill 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 $500,000.00 on March 30, 2023.

Claimants allege, inter alia, unsuitability with respect to managed account – 2019 to 2022

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

FINRA BrokerCheck shows a settled customer complaint on April 03, 2023.

Claimant alleges, inter alia, unsuitability with regards to investments in account from 2021 through 2022.

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

FINRA BrokerCheck shows a settled customer complaint on April 11, 2023.

Client alleged, inter alia, that her instructions to invest her funds in safe short-term investments were not followed. 2021-2022

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

FINRA BrokerCheck shows a settled customer complaint on April 13, 2023.

Client’s attorney alleges, inter alia, that investments and strategy recommended by FA were unsuitable, 2021-2023

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

FINRA BrokerCheck shows a settled customer complaint on April 24, 2023.

Client alleges investment strategy to diversify concentrated stock positions was misrepresented with respect to tax consequences. 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sally Ann Weger (Weger), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Weger 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 $400,000.00 on April 28, 2023.

Claimant alleges, inter alia, breach of fiduciary duty with respect to transfer of death designation added to the client’s account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Mackay (Mackay), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mackay 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 $400,000.00 on April 28, 2023.

Claimant alleges, inter alia, breach of fiduciary duty with respect to transfer of death designation added to the client’s account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Friedman (Friedman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Friedman 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 $87,000.00 on May 04, 2023.

Customer alleges unsuitable recommendation regarding managed account investment. Activity dates 4/28/2020 to 5/9/2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Lerner (Lerner), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Lerner 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’s attorney alleges, inter alia, that liquidity access line established by the client’s deceased husband was not appropriate for the client to maintain 2021-2023

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