Morgan Stanley

Broker Steven Rini in Morgan Stanley Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Rini (Rini), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Rini 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 $234,600.00 on November 19, 2025.

CLIENT ALLEGED, INTER ALIA, THAT THE INVESTMENT IN AN EXCHANGE FUND WAS MISREPRESENTED 2024

Broker Thomas Steele in Morgan Stanley Firm Has Customer Complaint

January 2, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 26, 2025.

Client alleges misrepresentations and unsuitable investment recommendations.

There are Recent Customer Complaints with Broker William Jones in Firm Morgan Stanley

January 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Jones (Jones), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $34,652.65 on December 08, 2025.

CLIENT ALLEGES THAT HER ACCOUNT WAS NOT MANAGED IN HER BEST INTEREST 2020-2025

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

December 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 16, 2021.

Client alleged that their instructions not to initiate trading in their managed accounts until they received and approved an investment proposal were not followed. 2020 damages unspecified

There are Recent Customer Complaints with Broker Thomas Assalone in Firm Morgan Stanley

December 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 16, 2021.

Client alleged that their instructions not to initiate trading in their managed accounts until they received and approved an investment proposal was not followed. 2020 damages unspecified

There are Recent Customer Complaints with Broker Mark Payne in Firm Morgan Stanley

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Payne (Payne), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Payne 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 $15,531,642.00 on January 19, 2022.

Client alleged FA made misrepresentations and unsuitable recommendations related to options trading strategy. 2018 to 2021

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

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Wagner (Wagner), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wagner 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 $15,531,642.00 on January 19, 2022.

Client alleged FA employed unsuitable options investment strategy.

Broker Jonathan Dickson in Morgan Stanley Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Dickson (Dickson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Dickson 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 $12,000.00 on January 25, 2022.

Client alleged misreprsentation with respect to rate of fees charged on managed accounts 2012 – 202121

Broker Christopher Mc Caffrey in Morgan Stanley Firm Has Customer Complaint

December 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mc Caffrey (Mc Caffrey), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mc Caffrey 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 $15,531,642.00 on January 19, 2022.

Client alleged that FA recommended an unsuitable options investment strategy. 2018 to 2021

Broker Garett Engel in Morgan Stanley Firm Has Customer Complaint

December 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 05, 2025.

Claimant alleges violations of Reg BI and misrepresentation regarding a covered call options strategy implemented resulting in significant losses – May 2025 to July 2025.