Morgan Stanley

There are Recent Customer Complaints with Broker Christian De berardinis in Firm Morgan Stanley

March 18, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Christian De berardinis (De berardinis) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that De berardinis was employed by Morgan Stanley at the time of the activity. If you have been a victim of De berardinis’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on September 19, 2024.

Without admitting or denying the findings, De Berardinis consented to the sanctions and to the entry of findings that he participated in private offerings of securities that raised $2.45 million from customers of his member firm without providing prior written notice to or receiving approval from his firm. The findings stated that De Berardinis introduced the firm customers to the CEO of a dairy company and recommended that they invest in the company. De Berardinis also facilitated the customers’ investments by providing them with information about the investment. In some cases, De Berardinis assisted customers with paperwork and, at his customers’ requests, transferred funds from the customers’ firm accounts to the company to fund their investments. De Berardinis received $22,500 from the company in referral fees. De Berardinis also falsely responded to questions about whether he had participated in private securities transactions on annual firm compliance questionnaires.

There are Recent Customer Complaints with Broker Michael Halperin in Firm Morgan Stanley

March 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 30, 2024.

Client alleges failure to follow instructions related to investing his IRA funds into two index fund ETFs and failure to make any recommendations to invest those funds.

Broker Shaun Orcinolo in Morgan Stanley Firm Has Customer Complaint

March 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shaun Orcinolo (Orcinolo), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Orcinolo 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 October 03, 2024.

Claimant alleges, inter alia, that the Annuities Purchased for her were not in her Best Interests – 2014 to 2024

Broker Ricki Silverman in Morgan Stanley Firm Has Customer Complaint

March 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricki Silverman (Silverman), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Silverman 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 October 03, 2024.

Claimant alleges, inter alia, that the Annuities Purchased for her were not in her Best Interests – 2014 to 2022

There are Recent Customer Complaints with Broker Stephen Marotto in Firm Morgan Stanley

March 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Marotto (Marotto), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Marotto 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 $550,049.00 on December 12, 2024.

CUSTOMERS ALLEGES MISREPRESENTATION, UNAUTHORIZED TRADING AND SUITABILITY. ACTIVITY DATES 1-1-2019 – 6-9-2023.

Broker Juan Elwaw in Morgan Stanley Firm Has Customer Complaint

March 8, 2025 | by Staff Attorney

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

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

Claim made by Estate of deceased client alleges, inter alia, unauthorized trading with respect to equity investments – August 2014 through November 2015

There are Recent Customer Complaints with Broker Jimmy Driggers in Firm Morgan Stanley

February 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 01, 2024.

Claimants alleges violations of Reg BI and Misrepresentation with respect to alternative investment strategy – 2012 to 2021

There are Recent Customer Complaints with Broker Craig Thistlethwaite in Firm Morgan Stanley

February 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Thistlethwaite (Thistlethwaite), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 regulatory, alleging that Thistlethwaite recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 11, 2024.

See Order No. 24-045 Notice of Opportunity for Hearing and Notice of Intent to Suspend/Revoke/Issue Cease and Desist Order for complete allegations.

Broker Peter Costello in Morgan Stanley Firm Has Customer Complaint

February 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Costello (Costello), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Costello 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 $11,300.00 on December 18, 2024.

Client alleges, inter alia, mutual fund investment in her account was unsuitable – 2015 to 2024

Broker John Dow in Morgan Stanley Firm Has Customer Complaint

February 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Dow (Dow), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Dow recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 06, 2025.

Without admitting or denying the findings, Dow consented to the sanction and to the entry of findings that he refused to produce documents requested by FINRA in connection with its investigation into a Form U5 filed by his member firm relating to his administration of a family member client’s estate. The findings stated that the firm filed the U5 disclosing that Dow had terminated his association with the firm while under internal review for non-Firm approved activities involving representative’s family member, including serving as an executor of the family member’s estate and activities with respect to two outside checking accounts held with the family member.