Articles Tagged with Morgan Stanley

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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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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darcy Dahl (Dahl), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dahl 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 $100,000.00 on November 14, 2023.

Customer alleges, inter alia, unsuitability with respect to Municipal Bond investments – 2021 to 2022

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

FINRA BrokerCheck shows a settled customer complaint on November 17, 2023.

CLIENT ALLEGES, INTER ALIA, THAT PURCHASE OF VARIABLE ANNUITY IN 2022 WAS UNSUITABLE

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

FINRA BrokerCheck shows a settled customer complaint on December 04, 2023.

CLIENT ALLEGED THAT IT WAS IMPROPER FOR HER FA TO MAINTAIN HER POSITION IN APPLE IN A MANAGED ACCOUNT INCURING MANAGEMENT FEES WHEN IT WAS KNOWN THAT SHE HAD NO INTENTION OF SELLING ANY OF THE POSITION. DAMAGES UNSPECIFIED 2014-2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marci Coots (Coots), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Coots 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 $300,000.00 on December 07, 2023.

Client alleges, inter alia, that they did not authorize the sale of certain securities in their accounts at the end of 2022

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

FINRA BrokerCheck shows a pending customer complaint on December 05, 2023.

Clients allege financial advisor made certain misrepresentations and unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alyce Weixler (Weixler), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Weixler 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 $300,000.00 on December 07, 2023.

Client alleges, inter alia, misrepresentation with respect to the recommendation to sell certain securities in their accounts at the end of 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kwame Adusei (Adusei), previously associated with Morgan Stanley, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Adusei recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 28, 2024.

Respondent Adusei failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Freddie Crandall (Crandall), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Crandall 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 $400,000.00 on March 01, 2024.

The claimant alleges unsuitable investment recommendations.

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