Morgan Stanley

Broker Ernest Dean in Morgan Stanley Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 28, 2026.

Claimant alleges, inter alia, unsuitability with respect to an investment strategy involving private equity and an LAL – Aug 2015 to Feb 2019.

Broker Jorge Quinto in Morgan Stanley Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on January 27, 2026.

Client’s attorney alleges, inter alia, that the client did not authorize the purchase of an alternative investment in his account 2025

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

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Comber (Comber), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Comber 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

There are Recent Customer Complaints with Broker David Chapin in Firm Morgan Stanley

April 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 04, 2026.

Claimant alleges unauthorized liquidation with respect to mutual fund positions – Nov 2025 to Dec 2025

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

April 6, 2026 | 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 pending customer complaint with a damage request of $2,000,000.00 on February 06, 2026.

Claimant alleged FA employed unsuitable options trading strategy.

Broker Michael Kislin in Morgan Stanley Firm Has Customer Complaint

April 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2026.

Client alleges breach of fiduciary duty with respect to investment strategy implented in his account that he believes was not agressive enough. 2023-2025

Broker Theodore Ice in Morgan Stanley Firm Has Customer Complaint

April 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Ice (Ice), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Ice 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 February 06, 2026.

Claimant alleges suitability, inter alia, regarding a covered call options strategy resulting in significant losses – Sep 2024 to Jan 2026

There are Recent Customer Complaints with Broker Araya Mesfin in Firm Morgan Stanley

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Araya Mesfin (Mesfin), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mesfin 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 $20,000,000.00 on February 13, 2026.

Time frame: March 2020-January 2024 Claimant alleges his financial advisor made unsuitable recommendations to invest in triple net leased commercial real estate properties (NNN) using a highly leveraged strategy and failed to disclose the risks associated with the investment strategy. He further alleges his financial advisor facilitated improper withdrawals from his accounts to a third-party without providing full disclosure of the material purpose of those transactions. Finally, Claimant alleges his financial advisor improperly participated in a company that Claimant had invested in outside of UBS.

There are Recent Customer Complaints with Broker Nini Wu in Firm Morgan Stanley

April 3, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 20, 2026.

Client alleges, inter alia, misrepresentation with respect to purchase of alternative investment 2021

Broker Randall Krenzin in Morgan Stanley Firm Has Customer Complaint

April 1, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on August 31, 2020.

Client complained that the financial advisor placed three orders in the account but there should have only been two. (7/31/2020)