Morgan Stanley

There are Recent Customer Complaints with Broker Gary Schweifel in Firm Morgan Stanley

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Schweifel (Schweifel), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Schweifel 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 $100,000.00 on March 10, 2025.

Claimant alleges, inter alia, that the investments strategy executed in the client’s account was unsuitable – June 2021 – Oct 2023

Broker Helen Rothlein in Morgan Stanley Firm Has Customer Complaint

April 12, 2025 | by Staff Attorney

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 $429,000.00 on March 07, 2025.

Attorney alleges, inter alia, that covered option trading recommended for clients was unsuitable 2019-2023

Broker Claudia Leite in Morgan Stanley Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Claudia Leite (Leite), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Leite 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 $150,000.00 on March 26, 2025.

Client alleges that recommendation to purchase foreign corporate bond in 2019 for a company that is now in bankrputcy did not meet her stated investment objectives

Broker Michael Ralby in Morgan Stanley Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Ralby (Ralby), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Ralby 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 August 01, 2024.

Claimants allege unsuitable investments, overconcentration, misrepresentations and omissions of material information and failure to supervise in reference to variable annuities. February-July 2013.

Broker Jeffrey Lieberman in Morgan Stanley Firm Has Customer Complaint

April 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Lieberman (Lieberman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Lieberman 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 $2,000,000.00 on August 05, 2024.

Claimant alleged, inter alia, misrepresentation with respect failure to disclose the risks and cost associated with Liquidity Access Line – June 2009 to August 2023

Broker Trevor Fried in Morgan Stanley Firm Has Customer Complaint

April 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 09, 2024.

Claimant alleges, inter alia, misrepresentation with respect to covered call option trading strategy – August 2023 through January 2024.

Broker Robert Chen in Morgan Stanley Firm Has Customer Complaint

April 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 09, 2024.

Client alleged failure to follow instructions with respect to the sales of three securiites that he did not want sold when his managed account was incepted. January 2024

Broker Christopher Arnella in Morgan Stanley Firm Has Customer Complaint

March 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on October 08, 2024.

On September 5, 2024, without admitting or denying the findings, Arnella entered into an Acceptance, Waiver and Consent (‘AWC’) with FINRA wherein Arnella consented to the entry of findings that between June 2017 and June 2020, Arnella made promissory and unwarranted statements to the public and firm customers about a publicly traded company, as well as statements that predicted performance of the company’s stock, including publicly posting his opinion about what he expected the future stock price to be by the end of 2018, and stating to two firm customers in writing that there was a ‘100 percent’ chance that the company’s loss in a patent litigation trial would be overturned. Arnella agreed to a one-month suspension from associating with any FINRA member in all capacities and to the payment of a fine in the amount of $5,000.

Broker John Alex in Morgan Stanley Firm Has Customer Complaint

March 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Alex (Alex), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Alex 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 $1,625,000.00 on November 06, 2024.

Client’s attorney alleged that covered call option strategy was unsuitable for her since the underlying stock continued to increase in value during the time the strategy was in place.

There are Recent Customer Complaints with Broker Haim Pekelis in Firm Morgan Stanley

March 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Haim Pekelis (Pekelis), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pekelis 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 $480,000.00 on January 27, 2025.

Time Frame: November 01, 2007 to June 25th, 2008\, What were the allegations against the individual? The trustee alleges the Financial Advisor failed to follow her instructions and placed the account in a risky investment.