Articles Tagged with Morgan Stanley

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

FINRA BrokerCheck shows a pending customer complaint on July 07, 2025.

December 4th, 2013 to July 3rd, 2025 What were the allegations against the individual? The trustee alleges that as a retiree and layperson, the client's best interest were breached with the recommendation to purchase the investment given the Fund's poor performance and illiquidity which posed a significant risk to her financial security. Further allegations state that advisor (had the obligation as a fiduciary) to clearly explain the risks, including the potential for prolonged lockup periods and the Fund's high-risk allocation strategy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Helen Rothlein (Rothlein), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Rothlein 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 $465,000.00 on August 07, 2025.

Claimant alleges unsuitable recommendation and misrepresentation with respect to options investment strategy – Sep 2019 to Apr 2024

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

FINRA BrokerCheck shows a settled customer complaint on May 18, 2023.

Claimants allege, inter alia, that the investment strategy executed in their account was unsuitable from January 2007 to February 14, 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Greenberg (Greenberg), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Greenberg 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 $200,000.00 on May 22, 2023.

Claimant alleges, inter alia, unsuitability with respect to investments in his managed accounts from 2021 to 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Linda Schnell (Schnell), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Schnell 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 $330,000.00 on June 08, 2023.

Claimant alleged, inter alia, that the investments strategy executed in the client’s account was unsuitable – 2020-2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Moyseos (Moyseos), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Moyseos 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 $585,000.00 on June 22, 2023.

Claimant alleges, inter alia, That the investments strategy executed in the client’s account was unsuitable – 2020-2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Currie (Currie), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Currie 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 $70,283.32 on June 28, 2023.

Claim alleges, inter alia,  breach of fiduciary duty with respect to trading in managed account (2020 -2023)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Sain (Sain), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sain 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 $750,000.00 on July 12, 2023.

Claimants alleges, inter alia, That the investments strategy executed in their account was unsuitable -2022- 2023

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Knutson (Knutson), 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 Knutson  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $44,015,038.00 on July 11, 2023.

Claimants allege, inter alia, Excessive trading with respect to investments – 2013 to 2022

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

FINRA BrokerCheck shows a settled customer complaint on May 12, 2025.

CLIENT ALLEGES MISREPRESENATION WITH RESPECT TO INVESTMENT STRATEGY IMPLEMENTED IN HER ACCOUNT

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