Articles Tagged with Morgan Stanley

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

FINRA BrokerCheck shows a settled customer complaint on April 05, 2024.

Allegations were made against the FA for unsuitable recommendations in October 2020

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

FINRA BrokerCheck shows a pending customer complaint on April 02, 2024.

Heirs of the client allege unsuitable investments.

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

FINRA BrokerCheck shows a pending customer complaint on May 21, 2024.

Claim alleges, inter alia, that the short hedge investment strategy he utilized while his account was at Morgan Stanley was not in his best interests. 1998-2004

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

FINRA BrokerCheck shows a pending customer complaint on June 04, 2024.

Beginning in 2014, Claimants allege their Financial Advisors (FA) made unsuitable investment recommendations with regard to their long-term objectives and risk tolerance causing Claimants to suffer significant losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Pavelski (Pavelski), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pavelski 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 $100,000.00 on June 06, 2024.

Customer alleges misrepresentations and omissions of material information, unsuitable investment recommendations, failure to conduct required due diligence, violations of firm policies and procedures, and violations of securities industry rules related to a July 2020 purchase of GWG L Bonds. GWG entered bankruptcy in April 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Borami Yoon (Yoon), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Yoon 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 $200,000.00 on June 20, 2024.

Claimant alleged, inter Alia, misrepresentation with respect to investments -Dec 2020 through May 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mckenzie (Mckenzie), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mckenzie 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 $9,634.00 on June 24, 2024.

Client alleges, inter alia, misrepresentation with respect to commissions charged on options trading  June 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Freiman (Freiman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Freiman 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 $6,561.10 on June 27, 2024.

Client alleges, inter alia, that her account was not managed in her best interest  2023 – 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Divalerio (Divalerio), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Divalerio 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 $35,000,000.00 on July 17, 2024.

Claimant alleges, inter alia, that he received incorrect advice regarding the sale of Vertex stock pursuant to Rule 144.

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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 settled customer complaint on February 21, 2025.

Client verbally alleged that their instructions to transfer the positions in their account in kind to the contra firm were not followed 2025

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