Articles Tagged with Morgan Stanley

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

FINRA BrokerCheck shows a settled customer complaint on April 22, 2025.

Client verbally complained about unauthorized trades in his account.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Yilun Liu (Liu), currently employed by Morgan Stanley has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Liu’s most recent customer complaint alleges that Liu recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $640,000.00 on May 01, 2025.

Claimant alleges, inter alia, that the options trading and structured product investment strategy recommended to him was not in his best interests – Dec 2024 to April 2025

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

FINRA BrokerCheck shows a settled customer complaint on April 29, 2025.

Client alleges that if she had been warned of the potential tax consequences of liquidating her current holdings in order to establish a new managed account, she would not have agreed to the strategy. 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Libby (Libby), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Libby 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 May 06, 2025.

Claimant alleges, inter alia, that the investments strategy executed in the client’s account was unsuitable – May 2019 to April 2025

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

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

Client alleges, inter alia, that her advisor made unsuitable investment recommendations to invest in alternative investments and that her financial qualifications were falsified on her account in order for her to be approved to invest 2014-2017

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

FINRA BrokerCheck shows a pending customer complaint on May 15, 2025.

Client alleges, inter alia, breach of fiduciary duty with respect to recommendation to enter stop-loss order  2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hedgspeth (Hedgspeth), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hedgspeth 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 $30,216.00 on July 18, 2023.

Customer alleges poor recommendation/advice and misrepresentation in 2022, resulting in high tax implications.

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

FINRA BrokerCheck shows a settled customer complaint on July 19, 2023.

The client alleges her former advisor recommended she transfer funds from her employer sponsored plans to a managed account without mentioning that the income from one of the plans is tax exempt from NY state. She claims the formerly tax-exempt income from the retirement account was made taxable when commingled with the other plan which has caused her city and state tax obligations to increase each year since 2019. She asks to be compensated.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Randy Holmeen (Holmeen), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Holmeen 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 $168,000.00 on August 07, 2023.

Claimants allege, inter alia, unsuitability with respect to investments in accounts – 2021 – 2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Capobianco (Capobianco), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Capobianco 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 $168,000.00 on August 07, 2023.

Claimants allege, inter alia, unsuitability with respect to investments in accounts – 2021 – 2023

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