Former Morgan Stanley Broker David Snell Involved in Multiple Investor Settlements

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Former Morgan Stanley broker David Snell (CRD# 1270233) has been involved in customer complaints alleging various forms of misconduct. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 14, 2022, he was registered with the firm’s Perrysburg, Ohio office until earlier this year. He is currently not registered as a broker […]

Former JP Morgan Advisor Derek Johnson Involved in $1.2 Million Investor Dispute

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Derek Johnson (CRD# 2922680), a Morgan Stanley advisor from Brea, California is involved in a pending customer complaint alleging more than $1 million in damages. This is according to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on February 14, 2022. Pending Complaint Involves Allegations of Unsuitable Recommendations In December 2021 a customer alleged […]

Did You Lose Money in Options Trading with Anthony Gallea?

Evergreen Financial Group Rep Jonathan Pyne Involved in Investor Dispute

MDF Law is currently investigating customer complaints against North Carolina based financial advisor Anthony Gallea (CRD 713980) who is affiliated with Morgan Stanley and Pelican Bay Wealth Management.  According to records released by FINRA and last accessed on February 23, 2022, Mr. Gallea has been the subject of at least three customer-initiated disputes regarding options […]

Morgan Stanley Advisor Ryan Wroblewski Involved in $235,000 Settlement

Lilia Niyazova: Seacrest Wealth Management Investor Files $12 Million Complaint

Ryan Wroblewski (CRD #: 6158332), a broker registered with Morgan Stanley, is involved in multiple six-figure investor disputes, according to his BrokerCheck record, accessed on January 10, 2022. Settlement Involved Margin Dispute On May 8, 2020, investors alleged that Wroblewski recommended unsuitable investments and made unauthorized use of a margin account. Margin accounts allow investors […]

Morgan Stanley’s David Wachsman Involved in $1.6 Million Investor Dispute

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David Wachsman (CRD #: 2220024), a broker registered with Morgan Stanley, is facing an investor allegation of a $1.6 million loss, according to his BrokerCheck record, accessed on January 10, 2022. On January 28, 2021, an investor alleged that Wachsman overconcentrated an unsuitable investment in an investor’s portfolio. The alleged misconduct took place from 2010 […]

Morgan Stanley Fined by State of New Hampshire

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On November 27, 2018, Morgan Stanley was fined by the State of New Hampshire, Bureau of Securities Regulations. That is the agency that has jurisdiction over enforcing the Uniform Securities Act in the state of New Hampshire. Here are the allegations: An advisor at Morgan Stanley engaged in churning or excessive trading of stocks. The […]

Former Morgan Stanley Advisor Ebbert Jones Had History of Investor Disputes

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Ebbert Jones (CRD# 1226224), also known as Ashby Jones, has been involved in customer complaints alleging his investment recommendations led to substantial losses. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 8, 2021, Mr. Jones was previously registered with Morgan Stanley in Newport Beach, California. Investor Settlements Totaled More […]

Former Morgan Stanley Advisor Wendell Kucker Has Long History of Customer Disputes

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Wendell Kucker (CRD# 711494) recently left his position at Morgan Stanley in Modesto, California and is currently not registered as a broker or an investment adviser. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, he has been involved in numerous customer complaints that resolved with settlements paid to the customer. Complaints Allege Concentration, […]

FINRA: Hammond Han Has History of Investor Disputes

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Hammond Han (CRD# 1576569) recently departed UBS Financial Services for Morgan Stanley’s office in Washington, DC. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 2, 2021, Mr. Han has been involved in several customer complaints, most of them denied. Complaints: Han Recommended Unsuitable Securities Three customers filed complaints against […]

FINRA: Steven Caputo Has Customer Complaints

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Steven Caputo (CRD# 2133741) has been involved in customer disputes and is currently not registered as a broker or an investment adviser. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, accessed on December 1, 2021, Mr. Caputo was most recently registered with Morgan Stanley’s branch office in Stamford, Connecticut. Customer: Caputo Made Unsuitable […]