Morgan Stanley

Broker James Britt in Morgan Stanley Firm Has Customer Complaint

November 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 29, 2025.

Claimants allege, inter alia, that the options trading strategy implemented in their trust accounts between Jan 2018 and May 2025 was unsuitable and misrepresented.

Broker Austin Masel in Morgan Stanley Firm Has Customer Complaint

November 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 10, 2025.

Claimant alleges, inter alia, that the trades involving the sale of Apple stock executed in his account were unauthorized 2025

There are Recent Customer Complaints with Broker Philip Hoang in Firm Morgan Stanley

November 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Hoang (Hoang), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hoang 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 $1,737,815.00 on October 10, 2025.

Claimant alleges, inter alia unsuitability with respect to investments and Liquidity Access Line -2021 to 2025

Broker Patricia Mcginley in Morgan Stanley Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Mcginley (Mcginley), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mcginley 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 $94,978.00 on May 20, 2022.

CLIENT ALLEGES, INTER ALIA, MISREPRESENTATION WITH RESPECT TO PURCHASE OF CLOSED END FUNDS 2021

Broker John Lentz in Morgan Stanley Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 25, 2022.

CLIENT ALLEGES PURCHASES OF TWO MUTUAL FUNDS WERE UNSUITABLE 2021 DAMAGES UNSPECIFIED

Broker Erin Dickes in Morgan Stanley Firm Has Customer Complaint

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erin Dickes (Dickes), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dickes 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 $177,659.89 on June 06, 2022.

On September 20, 2022, without admitting any liability and to avoid the time, costs and uncertainties of a litigation, CIBC Private Wealth Advisors, Inc. (“PWA”) settled a customer complaint in which the customer alleged that PWA and Ms. Dickes failed to implement certain investment strategy instructions communicated by the client to Ms. Dickes and PWA. Ms. Dickes did not participate in the settlement.

Broker Lawrence Perl in Morgan Stanley Firm Has Customer Complaint

November 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 23, 2022.

POA VERBALLY ALLEGED THAT BONDS WERE PURCHASED WITHOUT HER PRIOR AUTHORIZATION. THE TRADES WERE CANCELLED AT A LOSS TO FIRM IN THE AMOUNT OF $28,692.52.- February 2022 to March 2022.

Broker Nicholas Tolk in Morgan Stanley Firm Has Customer Complaint

November 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 14, 2022.

CLIENT ALLEGED THAT THERE WERE UNAUTHORIZED TRADES DONE IN THEIR ACCOUNT 2022 DAMAGES UNSPECIFIED

Broker Alfonso Duarte Rioseco in Morgan Stanley Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 21, 2022.

CLIENT ALLEGES THAT THEIR INSTRUCTIONS TO LIQUIDATE THEIR ACCOUNT IN APRIL 2022 WERE NOT FOLLOWED. DAMAGES UNSPECIFIED

There are Recent Customer Complaints with Broker Erik Hanson in Firm Morgan Stanley

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Hanson (Hanson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hanson 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 $210,000.00 on July 26, 2022.

CLIENT’S ATTORNEY ALLEGED THAT RECOMMENDATION TO INVEST IN BOND FUND WAS NOT IN THE CLIENT’S BEST INTEREST. 2021