Articles Tagged with Morgan Stanley

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

FINRA BrokerCheck shows a settled customer complaint on December 14, 2023.

Claimant alleged, inter alia, that the investments strategy executed in the client’s account was unsuitable 2010-2023

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

FINRA BrokerCheck shows a pending customer complaint on January 24, 2024.

Claim made by Estate of deceased client alleges, inter alia, unauthorized trading with respect to equity investments – August 2014 through November 2015

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

FINRA BrokerCheck shows a settled customer complaint on January 31, 2024.

Customer alleges unauthorized trading regarding managed account investments. Activity dates 11.30.23 – 12.14.23.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adonna Allgood Kamens (Allgood Kamens), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Allgood Kamens 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 $40,000.00 on February 02, 2024.

Executrix of estate alleges, inter alia, failure to supervise with respect to the margin balance maintained in the deceased client’s account after he passed away and the estate was being settled  2016-2023 .

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Washington (Washington), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Washington 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 $115,070.00 on February 12, 2024.

Claimant alleges, inter  alia, that the client did not authorize the use of margin to fund a wire transfer and that his instructions to liquidate securities to fund the transfer were not followed

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Meran (Meran), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Meran 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 $10,000.00 on February 13, 2024.

Claimant alleged that her Financial Advisor (FA), during an unspecified period of time while at Wells Fargo, made unsuitable investment recommendations inconsistent with her investment needs and objectives.\, Claimants also alleged that continuing to hold those positions while at Morgan Stanley was unsuitable – 2022 to 2023.

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

FINRA BrokerCheck shows a settled customer complaint on February 20, 2024.

Client alleges, inter alia, that a mutual fund was purchased in their account without their authorization 2021

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

FINRA BrokerCheck shows a settled customer complaint on March 22, 2024.

Claimant alleges, inter alia, FA solicited an outside real estate investment opportunity that was not authorized by the Firm. Claimant also alleges that investment in an equity recommendation by the FA was unsuitable from January 2017 through February 2022.

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

FINRA BrokerCheck shows a pending customer complaint on March 27, 2024.

Claimants allege, inter alia, that the investments strategy executed in the client’s account was unsuitable – 2021 – 2022

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

FINRA BrokerCheck shows a pending customer complaint on November 25, 2024.

Client alleged, inter alia, that the investment strategy implemented in his accounts was not in his best interests  2015 – 2021

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