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Articles Tagged with morgan stanley

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 published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2019 indicate that California-based Morgan Stanley broker/adviser Joseph Stern III has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Stern (CRD# 2994501). Joseph Stern has spent 20 years in […]

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 […]

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 […]

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