Articles Tagged with Morgan Stanley

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Laurence RossbachPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that former New York-based Morgan Stanley broker/adviser Laurence Rossbach has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rossbach (CRD# 405296).

Laurence Rossbach has spent 43 years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2009-2017). Previous registrations include Citigroup Global Markets in New York, New York (1989-2009); Drexel Burnham Lambert (1977-1989); and Drexel Burnham & Company (1973-1976). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on Jul 19, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 27, 1980; Series 31 (Futures Managed Funds Examination), which he obtained on October 28, 1993; PC (AMEX Put and Call Exam), which he obtained on December 7, 1993; and Series 00 (General Securities Principal Examination), which he obtained on June 25, 1973. He is not currently registered with any state or firm.

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

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Phillip SchreinerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 5, 2017 indicate that Texas-based Morgan Stanley broker/adviser Phillip Schreiner is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schreiner (CRD# 4742497).

Phillip Schreiner has spent 13 years in the securities industry and has been registered with Morgan Stanley in San Antonio, Texas since 2011. Previous registrations include Merrill Lynch in San Antonio, Texas (2009-2011); Banc of America Investment Services in San Antonio, Texas (2007-2009); Ameriprise Financial Services in San Antonio, Texas (2004-2007); and IDS Life Insurance in Minneapolis, Minnesota (2004-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 10, 2004, and Series 7 (General Securities Representative Examination), which he obtained on March 27, 2004. He is a registered broker and investment adviser with ten US states: Arizona, Arkansas, California, Colorado, Georgia, Montana, Nebraska, Texas, Virginia, and Wyoming. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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Jonathan Leopold

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 5, 2017 indicate that New York-based Morgan Stanley broker/adviser Jonathan Leopold has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Leopold (CRD# 1729492).

Jonathan Leopold has spent 30 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2009. Previous registrations include Citigroup Global Markets in New York, New York (1993-2009) and Lehman Brothers in New York, New York (1987-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 14, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 1987; Series 3 (National Commodity Futures Examination), which he obtained on March 21, 1988; and Series 7 (General Securities Representative Examination), which he obtained on September 19, 1987. He is a registered broker and investment adviser with 26 US states and territories: California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Hawaii, Idaho, Illinois, Maine, Maryland, Massachusetts, Michigan, Missouri, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, Puerto Rico, South Carolina, Texas, Utah, Virginia, Washington and Wisconsin. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and one customer complaint that was closed with no action taken.

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Scott HoffmanPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 1, 2017 indicate that Pennsylvania-based Morgan Stanley broker/adviser Scott Hoffman has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hoffman (CRD# 1223634).

Scott Hoffman has spent 33 years in the securities industry and has been registered with Morgan Stanley in Allentown, Pennsylvania since 2009. Previous registrations include Citigroup Global Markets in Allentown, Pennsylvania (1993-2009); Lehman Brothers in New York, New York (1993); Prudential Securities Incorporated in New York, New York (1984-1993); and First Investors Corporation (1984). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), obtained on January 13, 1993; Series 63 (Uniform Securities Agent State Law Examination), obtained on December 23, 1983; Series 31 (Futures Managed Funds Examination), obtained on November 29, 1993; Series 7 (General Securities Representative Examination), obtained on December 15, 1984; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on December 20, 1983. He is a registered broker and investment adviser with 15 US states and territories: Alabama, California, Colorado, Delaware, Florida, Georgia, Illinois, Louisiana, Maryland, Mississippi, New Jersey, New York, Pennsylvania Texas and Virginia. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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Steven Riga

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 16, 2017 indicate that Michigan-based Morgan Stanley broker/adviser Steven Riga has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Riga (CRD# 1067093).

Steven Riga has spent 34 years in the securities industry and has been registered with Morgan Stanley in Birmingham, Alabama since 2009. Previous registrations include Morgan Stanley & Company in Birmingham, Alabama (2009); UBS Financial Services in Birmingham, Alabama (1997-2009); Merrill Lynch in New York, New York (1983-1997); and WM C. Roney & Company (1982-1983). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 20, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 1, 1982; and Series 7 (General Securities Representative Examination), which he obtained on November 20, 1982. He is a registered broker and investment adviser with 28 US states and territories and four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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Todd BonimePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2017 indicate that Washington-based Morgan Stanley broker/adviser Todd Bonime has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bonime (CRD# 1144628).

Todd Bonime has spent 34 years in the securities industry and has been registered with Morgan Stanley in Seattle, Washington since 2009. Previous registrations include Citigroup Global Markets in Seattle, Washington (1985-2009) and Smith Barney Harris Upham (1983-1985). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 27, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 26, 1985; Series 31 (Futures Managed Funds Examination), which he obtained on August 14, 2009; and Series 7 (General Securities Representative Examination), which he obtained on July 16, 1983. He is a registered broker and investment adviser with 27 US states and territories: Alaska, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Illinois, Indiana, Michigan, Minnesota, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, South Dakota, Texas, Utah, Virginia, and Washington. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq Stock Market, and the New York Stock Market.

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

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Beatriz VidaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that New York-based Morgan Stanley broker/adviser Beatriz Vida has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Vida (CRD# 3129454).

Beatriz Vida has spent 18 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2014. Previous registrations include Santander Securities in Mayaguez, Puerto Rico (1999-2014) and Santander Investment Securities in New York, New York (1999). She has passed seven securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 87 (Research Analyst Exam – Part II Regulations Module); Series 86 (Research Analyst Exam – Part I Analysis Module); Series 7 (General Securities Representative Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination); and Series 24 (General Securities Principal Examination). She is a registered broker and investment adviser with 53 US states and territories.

According to her BrokerCheck report, she has received one pending customer complaint.

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Hanh WilliamsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that former Louisiana-based Morgan Stanley broker/adviser Hanh Williams was terminated from her former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Williams (CRD# 2236266).

Hanh Williams has spent 23 years in the securities industry and was most recently registered with Morgan Stanley in Shreveport, Louisiana (2014-2017). Previous registrations include JP Morgan Securities in Shreveport, Louisiana (2012-2014); Chase Investment Services in Shreveport, Louisiana (2010-2012); the Leaders Group in Littleton, Colorado (2010); Lincoln Financial Securities Corporation in Shreveport, Louisiana (1998-2008); EQ Financial Consultants in New York, New York; and the Equitable Life Assurance Society in New York, New York (1992-1998). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). She is currently not registered with any state or firm.

According to her BrokerCheck report, she was terminated from a former employer and has received one customer complaint.

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Randall Caruso

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 29, 2017 indicate that New York-based Morgan Stanley broker/adviser Randall Caruso has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Caruso (CRD# 2479432).

Randall Caruso has spent 23 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2010. He was previously registered with Merrill Lynch in New York, New York (1994-2010). 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 eleven US states and territories: California, Connecticut, Delaware, Florida, Georgia, Kansas, Michigan, Minnesota, New Jersey, New York and Texas.

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

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Neil NapoleonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 28, 2017 indicate that California-based Morgan Stanley broker/adviser Neil Napoleon received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Napoleon (CRD# 1493708).

Neil Napoleon has spent 30 years in the securities industry and has been registered with Morgan Stanley in Los Angeles and El Segundo, California since 2011. Previous registrations include RBC Capital Markets in Beverly Hills, California; UBS Painewebber in Weehawken, New Jersey; Wealth Resource Capital Corporation in Newport Beach, California; and Coast Financial Advisors. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 22 (Direct Participation Programs Representative Examination). He is a registered broker and investment adviser with seven US states: Arizona, California, Florida, Massachusetts, Nevada, New York and Texas.

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