Articles Tagged with Morgan Stanley

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Lawrence Catena (Catena), currently employed by Morgan Stanley has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Catena’s most recent customer complaint alleges that Catena recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on May 10, 2022.

Claimant alleges, inter alia, unsuitability with respect to structured product investments –  December 2021 to May 2022

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

FINRA BrokerCheck shows a settled customer complaint on May 13, 2022.

Client alleges that her mutual funds were sold without her authorization in 2014.  damages unspecified

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Mcginley (Mcginley), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mcginley 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 $94,978.00 on May 20, 2022.

Client alleges, inter alia, misrepresentation with respect to purchase of closed end funds 2021

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

FINRA BrokerCheck shows a settled customer complaint on May 25, 2022.

Client alleges purchases of two mutual funds were unsuitable   2021  damages unspecified

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

FINRA BrokerCheck shows a pending customer complaint on September 18, 2025.

Client, who instructed representative to invest her accounts in a low-risk, preservation of capital strategy involving cash-type vehicles, alleges that representative failed to act in her interests by placing her funds into a bank deposit program without explaining the features of the bank deposit program and failing to offer other higher-yielding alterative investment vehicles outside of the bank deposit program. Client seeks damages of up to $50,000 representing lost opportunity costs had her funds been invested in other investment vehicles.

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

FINRA BrokerCheck shows a settled customer complaint on October 02, 2025.

Client alleges that she did not give instructions to liquidate remaining positions in her account 2025

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

FINRA BrokerCheck shows a pending customer complaint on September 29, 2025.

Claimants allege, inter alia, that the options trading strategy implemented in their trust accounts between Jan 2018 and May 2025 was unsuitable and misrepresented

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

FINRA BrokerCheck shows a pending customer complaint on September 29, 2025.

Claimants allege, inter alia, that the options trading strategy implemented in their trust accounts between Jan 2018 and May 2025 was unsuitable and misrepresented.

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

FINRA BrokerCheck shows a pending customer complaint on October 10, 2025.

Claimant alleges, inter alia, that the trades involving the sale of Apple stock executed in his account were unauthorized 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Hoang (Hoang), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hoang 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 $1,737,815.00 on October 10, 2025.

Claimant alleges, inter alia unsuitability with respect to investments and Liquidity Access Line -2021 to 2025

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