Morgan Stanley

Broker Miche Jean in Morgan Stanley Firm Has Customer Complaint

January 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Miche Jean (Jean), previously associated with Morgan Stanley, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Jean recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 10, 2023.

Jean was named a respondent in a FINRA complaint alleging that he failed to provide information and documents and appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he converted money from his customer through fraudulent ACH transfers to pay his personal credit card.

There are Recent Customer Complaints with Broker Brian Manning in Firm Morgan Stanley

January 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Manning (Manning), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Manning recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 04, 2023.

In a life insurance broker renewal application form, Mr. Manning failed to list that he was a party in a FINRA customer arbitration proceeding.

Broker Thomas Batson in Morgan Stanley Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 27, 2025.

CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO IMPLENTATION OF CHANGE OF STRATEGY IN MANAGED ACCOUNT IN AUGUST 2025

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.