Articles Tagged with Morgan Stanley

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marci Coots (Coots), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Coots 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 $300,000.00 on December 07, 2023.

Client alleges, inter alia, that they did not authorize the sale of certain securities in their accounts at the end of 2022

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

FINRA BrokerCheck shows a pending customer complaint on December 05, 2023.

Clients allege financial advisor made certain misrepresentations and unsuitable investment recommendations.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alyce Weixler (Weixler), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Weixler 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 $300,000.00 on December 07, 2023.

Client alleges, inter alia, misrepresentation with respect to the recommendation to sell certain securities in their accounts at the end of 2022

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kwame Adusei (Adusei), previously associated with Morgan Stanley, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Adusei recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 28, 2024.

Respondent Adusei 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.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Freddie Crandall (Crandall), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Crandall 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 $400,000.00 on March 01, 2024.

The claimant alleges unsuitable investment recommendations.

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

FINRA BrokerCheck shows a pending customer complaint on October 08, 2024.

Claimant alleges, inter alia, misrepresentation with respect to Liquidity Access Line – 2021 to 2023

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Peirano (Peirano), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Peirano 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 $2,023,505.16 on May 15, 2025.

Claimant alleges, inter alia, recommendation to open Liquidity Asset Lines was unsuitable.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maury Lomax (Lomax), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Lomax 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 $1,000,000.00 on June 21, 2023.

Claimants alleged, inter alia, that the investments strategy executed in the clients’ account was not In their best interests – 2020-2022

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damon Stewart (Stewart), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Stewart 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 $1,667,000.00 on June 20, 2023.

Client alleges, inter alia, breach of fiduciary duty with respect to handing of account authorization changes and distributions requested by the client’s wife  July 2018 – Aug 2018.

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

FINRA BrokerCheck shows a pending customer complaint on July 07, 2001.

CLIENT COMPLAINED THAT ML RECOMMENDED LUCENT WHEN THEY SHOULD NOT HAVE THAT. I WWOULD NOT SELL HIS STOCK WHEN HE WANTED TO.

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