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Articles Tagged with morgan stanley

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 […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser William Dumchus has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dumchus (CRD# 1098533). William Dumchus has spent 35 years in the […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 31, 2018 indicate that former New York-based Morgan Stanley broker/adviser Yitzchok Goodman, who has received several customer disputes, was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2018 indicate that Louisiana-based Morgan Stanley broker/adviser Andrew Black has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Black (CRD# 1627800). Andrew Black has spent 30 years in the […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser Peggy Lee has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Lee (CRD# 1228655). Peggy Lee has spent 34 years […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 30, 2018 indicate that California-based Morgan Stanley broker/adviser Robert Newman has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Newman (CRD# 4237176). Robert Newman has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 16, 2018 indicate that former Georgia-based Morgan Stanley broker/adviser Douglas Ross has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ross (CRD# 1002559). Douglas Ross has spent 36 years in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that Florida-based Morgan Stanley broker/adviser Gerardo Latimer-Janer has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Latimer-Janer (CRD# 2491626). Gerardo Latimer-Janer has spent nineteen years in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that former Washington-based Morgan Stanley broker/adviser Randall Hayes, who has received customer disputes, was recently named in a regulatory complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hayes (CRD# 2224997). Randall […]

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