Articles Tagged with Morgan Stanley

| by

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

FINRA BrokerCheck shows a settled customer complaint on May 01, 2020.

Client alleges that his former fa purchased a corporate bond in his account without his authoization. 2020 damages unspecified

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on May 06, 2020.

Client alleges that he gave instructions in September 2019 to reallocate his account to all no-risk investments and his instructions were not followed. Damages unspecified

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Fenning (Fenning), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Fenning 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 $173,000.00 on May 05, 2020.

Time frame: 2014 – 2015 Claimant’s counsel alleges unsuitability and negligence with respect to recommendations and investment of accounts.

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on May 06, 2020.

Trustee verbally alleged failure to follow instructions with respect to liquidation of shares in trust accounts. – January 2020 to February 2020

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on May 14, 2020.

Client alleged, inter alia, unauthorized trading with respect to mutual fund investments – January 2020 to May 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker T Jackson (Jackson), currently 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 on May 22, 2020.

Client alleges that he did not authorize the establishment of a managed account or for trading to begin  2020  damages unspecified

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on May 27, 2020.

Client alleges, inter alia, that purchases and concentration of hertz bonds in her portfolio were unsuitable. 2019 – 2020  damages unspecified

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on May 28, 2020.

Client verbally alleged misrepresentation with respect to mutual fund investment  – March 2020.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frederick Schiller (Schiller), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Schiller 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 $250,000.00 on May 28, 2020.

Claimants allege, inter alia, unsuitability with respect to Puerto Rico municipal bonds investment  – May 2012 to May 2020

Continue Reading

| by

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

FINRA BrokerCheck shows a settled customer complaint on June 02, 2020.

Claimants allege, inter alia, unsuitability with respect to investments – July 2013 to April 2020

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design