Morgan Stanley

There are Recent Customer Complaints with Broker Kenneth Maring in Firm Morgan Stanley

February 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Maring (Maring), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Maring 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 June 04, 2025.

Brokers are required to adhere to the SEC’s Regulation Best Interest (Reg BI) standard of care under the Securities Exchange Act of 1934 which establishes a ‘best interest’ standard for broker-dealers and associated persons. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts. This standard applies when a registered representative is providing investment advice through making recommendations customers and covers securities transaction, investment strategies, and recommendations concerning advice on opening of an account or accounts.

There are Recent Customer Complaints with Broker Anthony Mitus in Firm Morgan Stanley

February 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 26, 2025.

Client alleges misrepresentation with respect to ubti tax liability he incurred on master limited partnerships sold in his ira when he transferred them into morgan stanley 2024-2025

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

February 7, 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 on December 05, 2025.

Claimants allege, inter alia, that FA recommended investment in an outside investment security that was not authorized by MS \\u2013 August 2018 to March 2025

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

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Regan (Regan), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Regan 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 $2,497,430.74 on December 09, 2025.

Claimants allege, inter alia, unsuitability with respect to account management and investments from Jan 2018 to October 2025.

Broker Lori Iaquinta in Morgan Stanley Firm Has Customer Complaint

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lori Iaquinta (Iaquinta), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Iaquinta 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 $4,000,000.00 on December 05, 2025.

Client alleged , inter alia, misrepresentation with respect to the rate that they would be charged on their managed account 2020-2025

Broker Gabriel Lavigne in Morgan Stanley Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 22, 2025.

Client alleged, inter alia, that the purchase of an annuity did not align with her stated goals August 2025

There are Recent Customer Complaints with Broker Marc Koch in Firm Morgan Stanley

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Koch (Koch), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Koch 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 $1,000,000.00 on December 18, 2025.

Customer alleges unsuitable investment recommendation. Activity date July 2019 – July 2019.

Broker David Peterson in Morgan Stanley Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Peterson (Peterson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Peterson 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 $5,000.00 on July 22, 2021.

CLIENT’S ATTORNEY ALLEGES FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO INVESTMENTS 2018-2021

There are Recent Customer Complaints with Broker Sylvia Gort in Firm Morgan Stanley

January 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 29, 2021.

CLIENT VERBALLY ALLEGED IN APRIL 2021 THAT SHE DID NOT AUTHORIZE THE SALE OF 2000 SHARES OF SMED WHICH HAD BEEN SOLD IN HER ACCOUNT BACK IN DECEMBER 2018. THE CLAIM WAS SETTLED FOR $30,283.59.

Broker Neil Kaplan in Morgan Stanley Firm Has Customer Complaint

January 29, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Neil Kaplan (Kaplan), previously associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Kaplan concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $240,000.00 on August 03, 2021.

Claimant alleges, inter alia, excessive trading with respect to investments – Jan 2015 – Dec 2015