Morgan Stanley

Broker Jianmin Gu in Morgan Stanley Firm Has Customer Complaint

October 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 28, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO SHARE CLASS, INTERNAL FEES AND PLACEMENT FEE IN RELATION TO HEDGE FUND INVESTMENT 2025

Broker James Garrity in Morgan Stanley Firm Has Customer Complaint

October 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 28, 2025.

Claimant alleges, inter alia, misrepresentation with respect to covered call option strategy – 2023-to 2025

Broker Todd Nuss in Morgan Stanley Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Nuss (Nuss), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Nuss 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 $10,000,000.00 on October 24, 2022.

Attorney for client alleges, inter alia, that recommendation for pension plan to utilize outside money manager who failed to implement a liability-driven investment strategy with short erm duration strategy was unsuitable from October 24, 2021 to October 24, 2022.

There are Recent Customer Complaints with Broker Horace Barker in Firm Morgan Stanley

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Horace Barker (Barker), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Barker 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 $1,608,876.00 on November 02, 2022.

Claim alleges, inter alia, breach of fiduciary duty with respect to FA’s lack of prevention of withdrawals made by unauthorized third party from client’s account.

There are Recent Customer Complaints with Broker Jack Elvestrom in Firm Morgan Stanley

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Elvestrom (Elvestrom), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Elvestrom 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 $400,000.00 on February 03, 2023.

Claimant alleges, inter alia, failure to follow instructions with respect to conservative investment plan for client account from 2021 to 2022.

Broker Frank Auyeung in Morgan Stanley Firm Has Customer Complaint

September 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 16, 2023.

Claimant alleged, inter alia, that the investments strategy executed in the client’s account was unsuitable 2013-2023

Broker Robert Newman in Morgan Stanley Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 27, 2023.

Claimant alleged that the FA recommended a portfolio that was too aggressive for his risk tolerance.

There are Recent Customer Complaints with Broker Matthew Ross in Firm Morgan Stanley

September 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 06, 2023.

Client verbally complained that the sale of stock in her account was unauthorized. – September 2022 – March 2023

Broker Alexander Page in Morgan Stanley Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Page (Page), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Page 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 $18,000.00 on March 18, 2023.

Client had First Republic stock in her portfolio, which fell significantly over the course of a week. On March 14th client complained that she had not given discretionary authority. RIA and advisor sent client paperwork indicating discretion that client signed off on. Client claimed they were Schwab documents and not internal documents. Advisor sent internal documents indicating a digital signature from client, which indicated discretion, but it lacked a date and time stamp.

Broker Nicholas Stenger in Morgan Stanley Firm Has Customer Complaint

September 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 20, 2023.

Client alleges that the rate that he would be charged on his managed account was misrepresented. 2020-2023