Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2017 indicate that former Maryland-based Morgan Stanley broker/adviser Melinda Ariosa has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ariosa (CRD# 1460568).
Melinda Ariosa has spent 28 years in the securities industry and was most recently registered with Morgan Stanley in Baltimore, Maryland (2009-2016). Previous registrations include Citigroup Global Markets in Pikesville, Maryland; Lehman Brothers in New York, New York; Oppenheimer & Company, and Tucker Anthony & RL Day. She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). She is currently not registered with any state or firm.
According to her BrokerCheck report, Melinda Ariosa has been sanctioned by FINRA and was discharged from her former employer.
In May 2017 FINRA sanctioned her following allegations she “willfully failed to disclose an arrest and a guilty plea on her Form U4.” FINRA’s findings state further: “Ariosa was arrested and charged with two felonies and two misdemeanor drug violations. Ariosa entered a guilty plea to one felony count, and was placed on probation without entry of a judgment. In addition, Ariosa completed compliance questionnaires in which she falsely answered ‘no’ to whether she had, within the past 24 months, ‘been arrested, charged or convicted with a felony, misdemeanor, or had any statutory disqualifications, as defined by Section 3(a)(39) of the Exchange Act.’” She was issued a 6-month suspension and a fine of $5,000.
In November 2016, she was terminated from her position at Morgan Stanley Smith Barney following allegations “regarding a criminal event that was not previously disclosed.”
If you have lost money investing with Melinda Ariosa, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.