Morgan Stanley

There are Recent Customer Complaints with Broker Kenneth Maring in Firm Morgan Stanley

May 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 04, 2024.

Beginning in 2014, Claimants allege their Financial Advisors (FA) made unsuitable investment recommendations with regard to their long-term objectives and risk tolerance causing Claimants to suffer significant losses.

There are Recent Customer Complaints with Broker Paul Pavelski in Firm Morgan Stanley

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Pavelski (Pavelski), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pavelski 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 $100,000.00 on June 06, 2024.

Customer alleges misrepresentations and omissions of material information, unsuitable investment recommendations, failure to conduct required due diligence, violations of firm policies and procedures, and violations of securities industry rules related to a July 2020 purchase of GWG L Bonds. GWG entered bankruptcy in April 2022.

There are Recent Customer Complaints with Broker Borami Yoon in Firm Morgan Stanley

April 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Borami Yoon (Yoon), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Yoon 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 $200,000.00 on June 20, 2024.

Claimant alleged, inter Alia, misrepresentation with respect to investments -Dec 2020 through May 2021.

Broker Matthew Mckenzie in Morgan Stanley Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mckenzie (Mckenzie), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mckenzie 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 $9,634.00 on June 24, 2024.

Client alleges, inter alia, misrepresentation with respect to commissions charged on options trading June 2024

There are Recent Customer Complaints with Broker Michael Freiman in Firm Morgan Stanley

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Freiman (Freiman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Freiman 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 $6,561.10 on June 27, 2024.

Client alleges, inter alia, that her account was not managed in her best interest 2023 – 2024

Broker Anthony Divalerio in Morgan Stanley Firm Has Customer Complaint

April 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Divalerio (Divalerio), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Divalerio 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 $35,000,000.00 on July 17, 2024.

Claimant alleges, inter alia, that he received incorrect advice regarding the sale of Vertex stock pursuant to Rule 144.

Broker Katy Zhao in Morgan Stanley Firm Has Customer Complaint

April 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 21, 2025.

Client verbally alleged that their instructions to transfer the positions in their account in kind to the contra firm were not followed 2025

There are Recent Customer Complaints with Broker Stephen Marotto in Firm Morgan Stanley

April 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Marotto (Marotto), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Marotto 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 $200,000.00 on February 26, 2025.

Customers allege misrepresentation and unsuitable investment recommendation. Activity dates August 2021-May 2024.

Broker Greg Waldman in Morgan Stanley Firm Has Customer Complaint

April 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege inter alia, unsuitability with respect to concentrated municipal bonds investment – 2018 to 2025

There are Recent Customer Complaints with Broker Mark Bodkins in Firm Morgan Stanley

April 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Bodkins (Bodkins), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Bodkins 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 $29,023.00 on March 05, 2025.

Client’s representative alleges, inter alia, that the client’s account was not managed in her best interests 2017-2025