Ron Filoramo Fired by Morgan Stanley Over Outside “Investments”
Morgan Stanley fired broker Ron Filoramo (CRD# 3270398) in May 2023 over allegations of fraud, according to his BrokerCheck report. This record, maintained by the Financial Industry Regulatory Authority and accessed on June 10, 2023, reflects his former registration with the firm’s office in Fort Lauderdale, Florida. It also describes several pending complaints alleging that […]
Brian Gilder and Darryl Cohen Arrested
On March 23, 2023, the Department of Justice announced the arrests of Brian Gilder, Darryl Cohen, Charles Briscoe and Calvin Darden, Jr. in connection with two schemes that defrauded professional basketball players. If you invested with any of these individuals, MDF Law may be able to help you recover your losses. Please call 800-767-8040 and […]
Former Morgan Stanley Broker David Snell Involved in Multiple Investor Settlements
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
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?
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’s David Wachsman Involved in $1.6 Million Investor Dispute
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
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
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
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: Steven Caputo Has Customer Complaints
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 […]