Articles Tagged with Morgan Stanley

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Butler (Butler), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Butler 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 $1,590,295.00 on December 31, 2020.

Claimant alleges, inter alia, failure to follow instructions with respect to option investment – Feb, 2020

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

FINRA BrokerCheck shows a settled customer complaint on January 12, 2021.

Client alleges that she did not authorize the sale of stocks in her trust account in January 2020.  damages unspecified

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Deichmann (Deichmann), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Deichmann 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 $350,000.00 on June 07, 2024.

Client alleged that an options trading strategy was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Masters (Masters), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Masters 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 $2,500,000.00 on December 05, 2025.

Claimant alleges negligence, gross negligence, breach of fiduciary duty, aiding and abetting fraud, aiding and abetting conversion, interference with inheritance, and violation of customs and standards of the securities industry.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Sperber (Sperber), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Sperber 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 $2,500,000.00 on December 05, 2025.

Claimant alleges negligence, gross negligence, breach of fiduciary duty, aiding and abetting fraud, aiding and abetting conversion, interference with inheritance, and violation of customs and standards of the securities industry.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Jackson (Jackson), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jackson 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 $1,300,000.00 on November 21, 2025.

Clients alleged, among other things, that he was overcharged on his investments from 2019-2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katy Zhao (Zhao), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Zhao 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 $50,000.00 on January 20, 2026.

Claimant alleges, inter alia, breach of fiduciary duty with respect to the management of her  investment account – 2021-2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chase Ambrose (Ambrose), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Ambrose 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 $1,000.00 on January 20, 2026.

Prospective client alleges that she had an agreement with the fa to deposit $1000 of her personal funds into his personal account at morgan stanley in order to earn interest. Individual states that she has not been able to recover her principal.

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

FINRA BrokerCheck shows a pending customer complaint on January 23, 2026.

Client alleges, inter alia, misrepresentation with respect to purchases and sales of certificates of deposits and equity trading done in her account 2021-2022 damages unspecified

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mckeever (Mckeever), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mckeever 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 $122,719.00 on January 29, 2026.

Claimant alleges, inter alia, unauthorized trading relating to four brokered CD investments – Nov 2020 to Jun 2021

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