Morgan Stanley

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

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Regan (Regan), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Regan 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 $2,497,430.74 on December 09, 2025.

Claimants allege, inter alia, unsuitability with respect to account management and investments from Jan 2018 to October 2025.

Broker Lori Iaquinta in Morgan Stanley Firm Has Customer Complaint

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lori Iaquinta (Iaquinta), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Iaquinta 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 $4,000,000.00 on December 05, 2025.

Client alleged , inter alia, misrepresentation with respect to the rate that they would be charged on their managed account 2020-2025

Broker Gabriel Lavigne in Morgan Stanley Firm Has Customer Complaint

February 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 22, 2025.

Client alleged, inter alia, that the purchase of an annuity did not align with her stated goals August 2025

There are Recent Customer Complaints with Broker Marc Koch in Firm Morgan Stanley

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Koch (Koch), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Koch 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 $1,000,000.00 on December 18, 2025.

Customer alleges unsuitable investment recommendation. Activity date July 2019 – July 2019.

Broker David Peterson in Morgan Stanley Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Peterson (Peterson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Peterson 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 $5,000.00 on July 22, 2021.

CLIENT’S ATTORNEY ALLEGES FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO INVESTMENTS 2018-2021

There are Recent Customer Complaints with Broker Sylvia Gort in Firm Morgan Stanley

January 30, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 29, 2021.

CLIENT VERBALLY ALLEGED IN APRIL 2021 THAT SHE DID NOT AUTHORIZE THE SALE OF 2000 SHARES OF SMED WHICH HAD BEEN SOLD IN HER ACCOUNT BACK IN DECEMBER 2018. THE CLAIM WAS SETTLED FOR $30,283.59.

Broker Neil Kaplan in Morgan Stanley Firm Has Customer Complaint

January 29, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Neil Kaplan (Kaplan), previously associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Kaplan concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $240,000.00 on August 03, 2021.

Claimant alleges, inter alia, excessive trading with respect to investments – Jan 2015 – Dec 2015

Broker Thomas Octigan in Morgan Stanley Firm Has Customer Complaint

January 29, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 30, 2021.

Claimant alleged failure to supervise with respect to Financial Advisor’s management of accounts – May 2017 to July 2018.

There are Recent Customer Complaints with Broker Roy Pfeffer in Firm Morgan Stanley

January 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 24, 2021.

CLIENT ALLEGED, INTER ALIA, THAT THE PURCHASE OF AN ALTERNATIVE INVESTMENT CRYPTOCURRENCY FUND WAS MISREPRESENTED. – May 2021 to June 2021

Broker John Rochester in Morgan Stanley Firm Has Customer Complaint

January 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $1,238,518.30 on September 03, 2021.

Rochester was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty and associated misrepresentations; breach of fiduciary; fraud in connection of breach of fiduciary duty; negligent misrepresentation associated with breach of fiduciary duty; breach of suitability rules; breach of diligence rules; breach of know your customer rules; breach of commercial honor and just and equitable principles of trade; fraud in connection with breach of FINRA rules; negligent misrepresentation in connection with FINRA rules; negligence; breach of contract; and breach of covenant of good faith and fair dealing.