Articles Tagged with Morgan Stanley

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

FINRA BrokerCheck shows a settled customer complaint on August 02, 2022.

Allegation including time frame: Client expressed dissatisfaction with call writing strategies employed in his account from December 2019 through February 2022.

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

FINRA BrokerCheck shows a settled customer complaint on August 03, 2022.

The customer alleges unsuitable investment recommendations that contradicted their best interest and unauthorized trading. The customer also alleges that misleading reports were presented, omitting pertinent information from 4/1/2014 to 4/31/2022. .

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Coughlin (Coughlin), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Coughlin 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 $500,000.00 on August 22, 2022.

Claimant alleges, inter alia, unsuitability with regards to investment in accounts – Jan 2009 – Nov 2021

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

FINRA BrokerCheck shows a settled customer complaint on October 05, 2022.

CLIENT ALLEGES THAT HIS INSTRUCTIONS TO INVEST IN A RISK FREE FUND WERE NOT FOLLOWED 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Harrell (Harrell), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Harrell 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 $135,170.00 on October 17, 2022.

TRUSTEE ALLEGES ALLOCATION AND INVESTMENT STRATEGY OF TRUST ACCOUNT WAS UNSUITABLE  202-2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Schofield (Schofield), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Schofield 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 $130,000.00 on December 13, 2022.

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

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Michael Schmidt (Schmidt) 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 Schmidt was employed by Morgan Stanley at the time of the activity.  If you have been a victim of Schmidt’s alleged misconduct our firm may be able to assist you in recovering funds.

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

Claimant alleged, inter alia, forgery and misappropriation of funds from inherited IRA account 2019-2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Hasselkus (Hasselkus), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hasselkus 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 $20,000.00 on January 13, 2023.

CLIENT ALLEGES, INTER ALIA, THAT THEIR INSTRUCTIONS TO TRANSFER THEIR ACCOUNT IN KIND TO THEIR NEW FIRM WERE NOT FOLLOWED  2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Gorman (Gorman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gorman 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 $465,000.00 on August 07, 2025.

Claimant alleges unsuitable recommendation and misrepresentation with respect to options investment strategy – Sep 2019 to Apr 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sophie Stevens (Stevens), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 $5,000.00 on August 14, 2025.

The client alleged the advisor did not manage account and let funds sit uninvested.

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