Articles Tagged with Morgan Stanley

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Christopher PollardPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former Georgia-based Morgan Stanley broker/adviser Christopher Pollard has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pollard (CRD# 6143750).

Christopher Pollard has spent 3 years in the securities industry and was most recently recently registered with Morgan Stanley in Atlanta, Georgia (2013-2016). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from his former employer.

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John RandolphPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 14, 2017 indicate that Texas-based Morgan Stanley broker/adviser John Randolph has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gunnip (CRD# 1398442).

John Gunnip has spent 27 years in the securities industry and has been registered with Morgan Stanley, where he is Senior Vice President, Wealth Management of the Gunnip Group, in Southlake, Texas since 2009. Previous registrations include Morgan Stanley & Company in Fort Worth, Texas and Morgan Stanley DW in Fort Worth, Texas. He is a registered broker and investment adviser with 27 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

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Cory Fraracaccio

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2017 indicate that Ohio-based Morgan Stanley broker/adviser Cory Fraracaccio has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fraracaccio (CRD# 1994960).

Cory Fraracaccio has spent 27 years in the securities industry and has been registered with Morgan Stanley in Cleveland, Ohio since 2009. Previous registrations include Citigroup Global Markets in Cincinnati, Ohio (2005-2009); Morgan Stanley DW in Purchase, New York (1998-2005); Painewebber in Weehawken, New Jersey (1992-1999); and the Ohio Company in Cincinnati, Ohio (1989-1993). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination).. He is a registered broker and investment adviser with five US states: Florida, Kentucky, Maryland, Michigan and Ohio.

According to his BrokerCheck report, he has received one pending customer complaint and four denied customer complaints.

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Todd AdamsPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2017 indicate that Michigan-based Morgan Stanley broker/adviser Todd Adams has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Adams (CRD# 2300272).

Todd Adams has spent 24 years in the securities industry and has been registered with Morgan Stanley in Farmington Hills, Michigan since 2009. Previous registrations include Morgan Stanley & Company in Livonia, Michigan (2007-2009); Morgan Stanley DW in Livonia, Michigan (1993-2007); and Dean Witter Reynolds (1992-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Florida, Georgia, Hawaii, Illinois, Indiana, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, New York, North Carolina, Ohio, South Carolina, Tennessee, Texas and Vermont.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

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Michael HallPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2017 indicate that New York-based Morgan Stanley broker/adviser Michael Hall has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hall (CRD# 2388341).

Michael Hall has spent 23 years in the securities industry and has been registered with Morgan Stanley in Garden City, New York since 2009. Previous registrations include Morgan Stanley & Company in Garden City, New York; Morgan Stanley DW in Garden City, New York; Citigroup Global Markets in Garden City, New York; Painewebber Incorporated in Weehawken, New Jersey; Smith Barney in New York, New York; Ladenburg Thalmann & Company in New York, New York; and Russo Securities in Staten Island, New York. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 17 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Massachusetts, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Texas, Utah, Virginia and Washington.

According to his BrokerCheck report, he has received one pending customer complaint.

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Neil Kaplan

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 1, 2017 indicate that Maryland-based Morgan Stanley broker/adviser Neil Kaplan has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kaplan (CRD# 1615516).

Neil Kaplan has spent 30 years in the securities industry and has been registered with Morgan Stanley in Potomac and Bethesda, Maryland since 2009. Previous registrations include Citigroup Global Markets in Lafayette, New Jersey (1993-2009) and Lehman Brothers in New York, New York (1987-2003). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 3 (National Commodity Futures Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 28 US states and territories.

According to his BrokerCheck report, he has received two pending customer complaints.

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Robert DennisonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 1, 2017 indicate that Florida-based Morgan Stanley broker/adviser Robert Dennison has received several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dennison (CRD# 2674594).

Robert Dennison has spent 21 years in the securities industry and has been registered with Morgan Stanley in West Palm Beach, Florida since 2013. Previous registrations include RBC Capital Markets in West Palm Beach, Florida; JB Hanauer & Company in West Palm Beach, Florida; Morgan Stanley DW in Purchase, New York; and Painewebber in Weehawken, New Jersey. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 13 US states and territories: Alabama, Arizona, California, Colorado, Florida, Maine, Missouri, New Jersey, New York, North Carolina, Oklahoma, Oregon and Texas.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.

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Melinda AriosaPublicly 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.

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Gregg StupinskiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2017 indicate that Florida-based Morgan Stanley broker/adviser Gregg Stupinski has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stupinski (CRD# 2068917).

Gregg Stupinski has spent 23 years in the securities industry and has been registered with Morgan Stanley in Naples, Florida since 2009. Previous registrations include Citigroup Global Markets in Stuart, Florida (1994-2009) and Olde Discount Corporation in Detroit, Michigan (1993-1994). He is a registered broker and investment adviser with eleven US states and territories: Connecticut, Florida, Georgia, Illinois, Indiana, Maine, Massachusetts, New Jersey, North Carolina, Ohio and Utah.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.

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Alex MuscatiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that Florida-based Morgan Stanley broker/adviser Alex Muscati has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Muscati (CRD# 2311373).

Alex Muscati has spent 23 years in the securities industry and has been registered with Morgan Stanley in Palm Harbor, Florida since 2012. Previous registrations include Merrill Lynch in Clearwater, Florida; Wachovia Securities in St. Louis, Missouri; Prudential Securities in New York, New York; Salomon Smith Barney in New York, New York; American Express Financial Advisors in Minneapolis, Minnesota; IDS Life Insurance Company in Minneapolis, Minnesota; and Chatfield Dean & Company in Greenwood Village, Colorado. He is a registered broker and investment adviser with 29 US states and territories.

According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.