Morgan Stanley

Broker Michael Schmidt in Morgan Stanley Firm Has Customer Complaint

October 24, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Michael Schmidt (Schmidt) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Schmidt was employed by Morgan Stanley at the time of the activity. If you have been a victim of Schmidt’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on December 14, 2022.

Claimant alleged, inter alia, forgery and misappropriation of funds from inherited IRA account 2019-2022.

There are Recent Customer Complaints with Broker Nicholas Hasselkus in Firm Morgan Stanley

October 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Hasselkus (Hasselkus), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Hasselkus 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 $20,000.00 on January 13, 2023.

CLIENT ALLEGES, INTER ALIA, THAT THEIR INSTRUCTIONS TO TRANSFER THEIR ACCOUNT IN KIND TO THEIR NEW FIRM WERE NOT FOLLOWED 2022

There are Recent Customer Complaints with Broker Alexander Gorman in Firm Morgan Stanley

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Gorman (Gorman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gorman 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 $465,000.00 on August 07, 2025.

Claimant alleges unsuitable recommendation and misrepresentation with respect to options investment strategy – Sep 2019 to Apr 2024

Broker Sophie Stevens in Morgan Stanley Firm Has Customer Complaint

October 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sophie Stevens (Stevens), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Stevens 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 $5,000.00 on August 14, 2025.

The client alleged the advisor did not manage account and let funds sit uninvested.

Broker Jianmin Gu in Morgan Stanley Firm Has Customer Complaint

October 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 28, 2025.

CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO SHARE CLASS, INTERNAL FEES AND PLACEMENT FEE IN RELATION TO HEDGE FUND INVESTMENT 2025

Broker James Garrity in Morgan Stanley Firm Has Customer Complaint

October 8, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on August 28, 2025.

Claimant alleges, inter alia, misrepresentation with respect to covered call option strategy – 2023-to 2025

Broker Todd Nuss in Morgan Stanley Firm Has Customer Complaint

October 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Nuss (Nuss), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Nuss 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 $10,000,000.00 on October 24, 2022.

Attorney for client alleges, inter alia, that recommendation for pension plan to utilize outside money manager who failed to implement a liability-driven investment strategy with short erm duration strategy was unsuitable from October 24, 2021 to October 24, 2022.

There are Recent Customer Complaints with Broker Horace Barker in Firm Morgan Stanley

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Horace Barker (Barker), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Barker 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 $1,608,876.00 on November 02, 2022.

Claim alleges, inter alia, breach of fiduciary duty with respect to FA’s lack of prevention of withdrawals made by unauthorized third party from client’s account.

There are Recent Customer Complaints with Broker Jack Elvestrom in Firm Morgan Stanley

September 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jack Elvestrom (Elvestrom), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Elvestrom 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 $400,000.00 on February 03, 2023.

Claimant alleges, inter alia, failure to follow instructions with respect to conservative investment plan for client account from 2021 to 2022.

Broker Frank Auyeung in Morgan Stanley Firm Has Customer Complaint

September 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on February 16, 2023.

Claimant alleged, inter alia, that the investments strategy executed in the client’s account was unsuitable 2013-2023