Morgan Stanley

Broker Thomas Octigan in Morgan Stanley Firm Has Customer Complaint

January 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 30, 2021.

Claimant alleged failure to supervise with respect to Financial Advisor’s management of accounts – May 2017 to July 2018.

There are Recent Customer Complaints with Broker Roy Pfeffer in Firm Morgan Stanley

January 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 24, 2021.

CLIENT ALLEGED, INTER ALIA, THAT THE PURCHASE OF AN ALTERNATIVE INVESTMENT CRYPTOCURRENCY FUND WAS MISREPRESENTED. – May 2021 to June 2021

Broker John Rochester in Morgan Stanley Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Rochester (Rochester), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Rochester 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 $1,238,518.30 on September 03, 2021.

Rochester was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty and associated misrepresentations; breach of fiduciary; fraud in connection of breach of fiduciary duty; negligent misrepresentation associated with breach of fiduciary duty; breach of suitability rules; breach of diligence rules; breach of know your customer rules; breach of commercial honor and just and equitable principles of trade; fraud in connection with breach of FINRA rules; negligent misrepresentation in connection with FINRA rules; negligence; breach of contract; and breach of covenant of good faith and fair dealing.

Broker Jacob Shapira in Morgan Stanley Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 14, 2021.

Attorney for client alleged unauthorized trading with respect to equity investment – January 20, 2015

Broker Michael Harris in Morgan Stanley Firm Has Customer Complaint

January 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2021.

PARTNER ON FAMILY LP ALLEGES THAT ADVISORY ACCOUNT FEES WERE NOT PROPERLY DISCLOSED DAMAGES UNSPECIFIED 2011 – 2021

There are Recent Customer Complaints with Broker Ron Phillips in Firm Morgan Stanley

January 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ron Phillips (Phillips), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Phillips 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 $250,000.00 on October 14, 2021.

Claimant alleged that Respondents mismanaged his discretionary account by investing in unsuitable securities that underperformed the S&P 500

There are Recent Customer Complaints with Broker Scott Mcquilken in Firm Morgan Stanley

January 19, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 27, 2021.

Unsuitable products during 2015 through 2017

Broker Timothy Jennings in Morgan Stanley Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 09, 2021.

CLIENT ALLEGED, INTER ALIA, THAT THE RECOMMENDATION TO OPEN A MANAGED ACCOUNT WHICH LED TO ALL OF HER STOCKS BEING LIQUIDATED\, CAUSING SUBSTANTIAL CAPITAL GAINS WAS NOT IN HER BEST INTEREST. 2021 DAMAGES UNSPECIFIED

Broker Roy Budd in Morgan Stanley Firm Has Customer Complaint

January 18, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Budd (Budd), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Budd 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 $100,000.00 on November 08, 2021.

Claimant alleges, inter alia, unsuitability with respect to concentrated investment in managed account – April, 2019.

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

January 15, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on December 14, 2021.

Respondent Hixon failed to respond to FINRA requests for information.