Articles Tagged with Morgan Stanley

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

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

CLIENT’S WIFE/POA ALLEGES, INTER ALIA, THAT THE INVESTMENT STRATEGY IMPLEMENTED IN THE CLIENT’S ACCOUNT WAS UNSUITABLE  2021-2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Beers (Beers), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Beers 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 August 29, 2023.

Claimant alleges, inter alia, unsuitability with respect to variable annuity investment-  June 2021 to Feb 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlo Licata (Licata), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Licata 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 $50,000.00 on September 12, 2023.

Claimant alleges, inter alia, that his accounts were not managed in his best interests 2022-2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Monken (Monken), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Monken 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 $750,000.00 on September 21, 2023.

Claim alleges, inter alia, that the trading strategy implemented in the client’s account was not in her best interest 2020-2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker S Powers (Powers), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Powers 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 $550,000.00 on September 26, 2023.

Claimant alleges, inter alia, breach of fiduciary duty with respect to the lack of detection of the alleged outside fraud perpetuated against the client.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Mcbride (Mcbride), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mcbride 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 $500,000.00 on October 02, 2023.

CLIENT’S ATTORNEY ALLEGES, INTER ALIA, THAT THE  COVERED CALL STRATEGY RECOMMENDED WAS UNSUITABLE  2019-2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Spector (Spector), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Spector 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 $500,000.00 on October 02, 2023.

CLIENT’S ATTORNEY ALLEGES, INTER ALIA, THAT THE  COVERED CALL STRATEGY RECOMMENDED WAS UNSUITABLE  2019-2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Gonzalez (Gonzalez), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 $157,779.00 on October 31, 2023.

Plaintiffs allege unsuitable investment recommendations, fraudulent and negligent misrepresentations, and omissions of material information regarding investments in Plaintiffs’ account.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Tofilon (Tofilon), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Tofilon 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 $340,000.00 on October 30, 2023.

Claimants allege, inter alia, misrepresentation with respect to municipal bonds investment – 2018 to May 2023

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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 settled customer complaint on November 09, 2023.

Client alleges investment strategy implemented in retirement plan was unsuitable.

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