Articles Tagged with Morgan Stanley

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

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

Claimant alleges, inter alia, unsuitable investment recommendations and violations of Reg BI with respect to securities-backed line of credit strategy 2014 -2024

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2025.

Claimant alleged, inter alia, FA recommended outside investment not authorized by the firm – May 2018 to March 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Johnson (Johnson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $750,000.00 on June 30, 2025.

Claimant alleges, inter alia, unsuitability with respect to equity investments  –  December 2023 through May 2025

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

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

Claimant alleges, inter alia, unsuitable investment recommendations and violations of Reg BI with respect to securities-backed line of credit strategy 2014 -2024

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

FINRA BrokerCheck shows a pending customer complaint on July 02, 2025.

Claimant alleged, inter alia, FA recommended outside investment not authorized by the firm – May 2018 to March 2025

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Johnson (Johnson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Johnson 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 $750,000.00 on June 30, 2025.

Claimant alleges, inter alia, unsuitability with respect to equity investments  –  December 2023 through May 2025

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

FINRA BrokerCheck shows a settled customer complaint on April 22, 2025.

Client verbally complained about unauthorized trades in his account.

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The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Yilun Liu (Liu), 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), Liu’s most recent customer complaint alleges that Liu recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $640,000.00 on May 01, 2025.

Claimant alleges, inter alia, that the options trading and structured product investment strategy recommended to him was not in his best interests – Dec 2024 to April 2025

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

FINRA BrokerCheck shows a settled customer complaint on April 29, 2025.

Client alleges that if she had been warned of the potential tax consequences of liquidating her current holdings in order to establish a new managed account, she would not have agreed to the strategy. 2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Libby (Libby), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Libby 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 $500,000.00 on May 06, 2025.

Claimant alleges, inter alia, that the investments strategy executed in the client’s account was unsuitable – May 2019 to April 2025

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