Morgan Stanley

Broker John Perez-cubero in Morgan Stanley Firm Has Customer Complaint

March 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 11, 2024.

Without admitting or denying the findings, Perez-Cubero consented to the sanction and to the entry of findings that he failed to produce information and documents requested by FINRA during an investigation that originated from a Form U5 filed by his member firm. The findings stated that the firm disclosed on the Form U5 that Perez-Cubero had been terminated due to allegations of an unauthorized disbursement from a customer’s checking account that was covered by an unauthorized transfer from customer’s brokerage account. Although Perez-Cubero initially cooperated with FINRA’s investigation by providing documents and information and appearing for testimony, ultimately, he ceased doing so.

There are Recent Customer Complaints with Broker Helen Andrews in Firm Morgan Stanley

March 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on September 12, 2024.

Respondent Andrews failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Christopher Duffy in Firm Morgan Stanley

March 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 12, 2024.

Claimants alleged, inter alia, that investment strategy implemented in their accounts was not in their best interests 2021-2023

Broker Michael Robertson in Morgan Stanley Firm Has Customer Complaint

March 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 13, 2024.

CLIENT ALLEGES THAT THEY NEVER AGREED TO BE INVESTED IN SECURITIES WITH LONG MATURITIES 2019-2024

Broker Kenneth Wingerter in Morgan Stanley Firm Has Customer Complaint

March 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Wingerter (Wingerter), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wingerter 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 $75,000.00 on September 18, 2024.

Time frame: July 2011 to 2023 Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.

Broker Ryan Caldwell in Morgan Stanley Firm Has Customer Complaint

March 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Caldwell (Caldwell), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Caldwell 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 $1,200,000.00 on September 20, 2024.

Claimant alleges, inter alia, that the Option Trades Executed in his account were unauthorized – April 2022 through November 2023

There are Recent Customer Complaints with Broker Christian De berardinis in Firm Morgan Stanley

March 18, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Christian De berardinis (De berardinis) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that De berardinis was employed by Morgan Stanley at the time of the activity. If you have been a victim of De berardinis’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on September 19, 2024.

Without admitting or denying the findings, De Berardinis consented to the sanctions and to the entry of findings that he participated in private offerings of securities that raised $2.45 million from customers of his member firm without providing prior written notice to or receiving approval from his firm. The findings stated that De Berardinis introduced the firm customers to the CEO of a dairy company and recommended that they invest in the company. De Berardinis also facilitated the customers’ investments by providing them with information about the investment. In some cases, De Berardinis assisted customers with paperwork and, at his customers’ requests, transferred funds from the customers’ firm accounts to the company to fund their investments. De Berardinis received $22,500 from the company in referral fees. De Berardinis also falsely responded to questions about whether he had participated in private securities transactions on annual firm compliance questionnaires.

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

March 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 30, 2024.

Client alleges failure to follow instructions related to investing his IRA funds into two index fund ETFs and failure to make any recommendations to invest those funds.

Broker Shaun Orcinolo in Morgan Stanley Firm Has Customer Complaint

March 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shaun Orcinolo (Orcinolo), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Orcinolo 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 $2,000,000.00 on October 03, 2024.

Claimant alleges, inter alia, that the Annuities Purchased for her were not in her Best Interests – 2014 to 2024

Broker Ricki Silverman in Morgan Stanley Firm Has Customer Complaint

March 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricki Silverman (Silverman), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Silverman 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 $2,000,000.00 on October 03, 2024.

Claimant alleges, inter alia, that the Annuities Purchased for her were not in her Best Interests – 2014 to 2022