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Articles Tagged with morgan stanley

Michael Hood (CRD#: 1809589), a registered representative with Morgan Stanley (CRD#: 149777) in Greenwood Village, Colorado, is currently involved in a pending customer dispute over unsuitable investments, according to his BrokerCheck record accessed on March 31, 2020.  On February 4, 2020, clients filed a customer complaint in which they allege, among other things, that Michael […]

Jeff Leach (CRD#: 3231849), a registered representative with Morgan Stanley (CRD#: 149777) in Naples, Florida, is currently involved in a pending customer dispute in which a client is seeking $3 million in damages, according to his BrokerCheck record accessed on March 3, 2020. Why is Jeff Leach involved in this $3 million dispute? On January […]

Francis Aurino (CRD#: 1754375), a registered representative with Morgan Stanley (CRD#: 149777) in Beverly Hills, California, is currently embroiled in a $685,610 customer dispute in which a client alleges that he recommended unsuitable investments from 2000 to 2019. When a broker recommends investment products, they should make sure that they are suitable for their clients. […]

Rob Snow (CRD#: 3203253), a registered representative with Morgan Stanley in Houston, Texas, became involved in a customer dispute on July 19, 2019. A client’s attorney alleges that, among other things, Rob Snow recommended unsuitable investments from April 2017 to April 2019, according to his BrokerCheck record accessed on August 21, 2019. The securities product […]

On July 22, 2019, Robert Brinckerhoff (CRD#: 823695), a registered representative with Morgan Stanley in Burlington, Vermont, became involved in a pending a customer dispute. A client, who is requesting $60,000 in damages, alleges that “the purchase of a structured product in her account in 2017 was unsuitable,” according to his BrokerCheck record accessed on […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 20, 2019 indicate that California-based Morgan Stanley broker/adviser Mikhail Hess has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hess (CRD# 5136443). Mikhail Hess has spent 12 years in the […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 20, 2019 indicate that California-based Morgan Stanley broker/adviser Barry Speyer has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Speyer (CRD# 432002). Barry Speyer has spent 48 years in the […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that former Texas-based Morgan Stanley broker/adviser James Mewhinny III has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2019 indicate that Tennessee-based Morgan Stanley broker/adviser Frank Venable has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 28, 2018 indicate that Michigan-based Morgan Stanley broker/adviser Raymond Hopper has received several pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hopper (CRD# 2200873). Raymond Hopper has spent 26 years in the securities […]

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