Morgan Stanley

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

There are Recent Customer Complaints with Broker Sean Righter in Firm Morgan Stanley

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Righter (Righter), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Righter 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 $1,300,000.00 on March 12, 2025.

Claimant alleges, inter alia, that the investments strategy executed in the client’s account was unsuitable – Jan 2021 to Jan 2025

There are Recent Customer Complaints with Broker Gary Schweifel in Firm Morgan Stanley

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Schweifel (Schweifel), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Schweifel 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 $100,000.00 on March 10, 2025.

Claimant alleges, inter alia, that the investments strategy executed in the client’s account was unsuitable – June 2021 – Oct 2023

Broker Helen Rothlein in Morgan Stanley Firm Has Customer Complaint

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Helen Rothlein (Rothlein), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Rothlein 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 $429,000.00 on March 07, 2025.

Attorney alleges, inter alia, that covered option trading recommended for clients was unsuitable 2019-2023

Broker Claudia Leite in Morgan Stanley Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Claudia Leite (Leite), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Leite 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 $150,000.00 on March 26, 2025.

Client alleges that recommendation to purchase foreign corporate bond in 2019 for a company that is now in bankrputcy did not meet her stated investment objectives