Articles Tagged with Morgan Stanley

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katy Zhao (Zhao), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Zhao 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 $50,000.00 on January 20, 2026.

Claimant alleges, inter alia, breach of fiduciary duty with respect to the management of her  investment account – 2021-2023

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chase Ambrose (Ambrose), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Ambrose 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 $1,000.00 on January 20, 2026.

Prospective client alleges that she had an agreement with the fa to deposit $1000 of her personal funds into his personal account at morgan stanley in order to earn interest. Individual states that she has not been able to recover her principal.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 23, 2026.

Client alleges, inter alia, misrepresentation with respect to purchases and sales of certificates of deposits and equity trading done in her account 2021-2022 damages unspecified

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mckeever (Mckeever), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mckeever 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 $122,719.00 on January 29, 2026.

Claimant alleges, inter alia, unauthorized trading relating to four brokered CD investments – Nov 2020 to Jun 2021

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 28, 2026.

Claimant alleges, inter alia, unsuitability with respect to an investment strategy involving private equity and an LAL –  Aug 2015 to Feb 2019.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Client’s attorney alleges, inter alia, that the client did not authorize the purchase of an alternative investment in his account  2025

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Comber (Comber), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Comber 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 $122,719.00 on January 29, 2026.

Claimant alleges, inter alia, unauthorized trading relating to four brokered CD investments – Nov 2020 to Jun 2021

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 04, 2026.

Claimant alleges unauthorized liquidation with respect to mutual fund positions – Nov 2025 to Dec 2025

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wagner (Wagner), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wagner 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 February 06, 2026.

Claimant alleged FA employed unsuitable options trading strategy.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2026.

Client alleges breach of fiduciary duty with respect to investment strategy implented in his account that he believes was not agressive enough. 2023-2025

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design