Morgan Stanley

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.

Broker Andres Herrera in Morgan Stanley Firm Has Customer Complaint

February 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint with a damage request of $2,000,000.00 on March 12, 2021.

Time Frame: February 3, 2020 to April 10, 2020 The client alleges the portfolio was too aggressive. The client further alleges he was issued a loan guaranteed by our portfolio without informing us as to what amount would be taken.

There are Recent Customer Complaints with Broker Thomas Meier in Firm Morgan Stanley

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Meier (Meier), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Meier 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 March 09, 2021.

Claimant alleges, inter alia, unsuitability with respect to fixed annuities – 2010

There are Recent Customer Complaints with Broker Henry Marin in Firm Morgan Stanley

February 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 25, 2021.

Customer alleges unauthorized trading on March 23, 2021

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

February 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kraft (Kraft), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kraft 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 $1,200,000.00 on March 31, 2021.

Client alleges that Mr. Kraft removed funds from a trust account without authorization.

There are Recent Customer Complaints with Broker Daniel Sherman in Firm Morgan Stanley

February 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Sherman (Sherman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Sherman 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 $259,743.41 on April 09, 2021.

Claimant alleges, inter alia, unsuitability with respect to investment and management of account \\u00e2?” October, 2006 to May, 2020

Broker Candido Viyella in Morgan Stanley Firm Has Customer Complaint

February 18, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Candido Viyella (Viyella) 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 Viyella was employed by Morgan Stanley at the time of the activity. If you have been a victim of Viyella’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on May 10, 2021.

Without admitting or denying the findings, Viyella consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he participated in private securities transactions without providing prior written notice to his member firm.

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

February 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Jonah (Jonah), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jonah 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 May 21, 2021.

Time frame: 2008 Claimant’s counsel alleges unauthorized trading in the Claimant’s account during a period where he was allegedly incapacitated.

There are Recent Customer Complaints with Broker Todd Mulligan in Firm Morgan Stanley

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Mulligan (Mulligan), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mulligan 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 $972,124.00 on June 25, 2021.

Mulligan was a subject of the customer’s complaint against his member firm that asserted the following causes of action: violation of FINRA Rule 2111; breach of duty; and violation of M.G.L. C. 93A.

Broker Lisa Matthews in Morgan Stanley Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Matthews (Matthews), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Matthews 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 $972,124.00 on June 25, 2021.

Matthews was a subject of the customer’s complaint against her member firm that asserted the following causes of action: violation of FINRA Rule 2111; breach of duty; and violation of M.G.L. C. 93A.