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 […]
Morgan Stanley Advisor John Rochester Involved in $600,000 Investor Dispute
John Rochester (CRD# 2128760) is involved in a pending customer complaint detailing allegations of unauthorized trading. This is according to the Santa Fe-based Morgan Stanley broker/adviser’s BrokerCheck report, last accessed on November 27, 2021. More information on the complaints disclosed to the Financial Industry Regulatory Authority (FINRA) is available below. Investor: John Rochester’s Trading Caused […]
Morgan Stanley Advisor James Frank Involved in FINRA Case
James Frank (CRD# 1212576) allegedly recommended unsuitable investments that caused six-figure losses. According to his Financial Industry Regulatory Authority BrokerCheck report—last accessed on November 23, 2021—Frank is currently registered with Morgan Stanley in West Palm Beach, Florida. Pending Complaint Alleges Unsuitable Investments FINRA records describe a pending customer complaint involving James Frank. Filed in September […]
Morgan Stanley Rep Adam Stowell Involved in $1 Million Customer Dispute
Adam Stowell (CRD #: 5889607), a broker registered with Morgan Stanley in Alpharetta, Georgia, is involved in an investor dispute, according to his BrokerCheck record, accessed on November 24, 2021. Details are provided below. February 2021 Investor Complaint On February 18, 2021, an investor alleged that Adam Stowell of Morgan Stanley failed to follow instructions […]
Oklahoma Regulators Censured Robert Franden Over Discretionary Trading
Robert Franden (CRD# 2402061), a Tulsa-based broker and investment adviser, was recently sanctioned by securities regulators, according to Financial Industry Regulatory Authority records accessed on November 2, 2021. He was sanctioned in a joint order with Kevin Doyle. If you have complaints regarding investments made with Mr. Franden, call MDF Law at 800-767-8040 for a […]
Former Morgan Stanley Rep Darryl Cohen Arrested
Darryl Cohen (CRD #: 2786613), a broker formerly registered with Morgan Stanley was arrested on March 23, 2023 along with Brian Gilder, Charles Briscoe and Calvin Darden, Jr. If you invested with any of these individuals, please call our law office immediately at 800-767-8040 and ask to speak with attorney Marc Fitapelli. March 2021 Termination […]
Rick Caiazzo: New Complaint Filed Against Former NJ Morgan Stanley Advisor
Publicly available records maintained by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2021 indicate that former New Jersey-based Morgan Stanley broker/adviser Rick Caiazzo has received several resolved or pending investor disputes. MDF Law is interested in hearing from customers who have complaints regarding Mr. Caiazzo (CRD# 1228870). Morgan Stanley Severs Ties […]
Michael Wagner: $5 Million Pending Complaint Against Morgan Stanley Broker
Options contract complaint filed concerning Atlanta, Georgia based financial advisor Michael Wagner of Morgan Stanley.