Articles Tagged with Morgan Stanley

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Thomas McDavid

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 17, 2018 indicate that Georgia-based Morgan Stanley broker/adviser Thomas McDavid has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McDavid (CRD# 3174259).

Thomas McDavid has spent 19 years in the securities industry and has been registered with Morgan Stanley in Atlanta, Georgia since 2012. He was previously registered with Merrill Lynch in Atlanta, Georgia (1999-2012). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 1, 1999, and Series 7 (General Securities Representative Examination), which he obtained on April 14, 1999. He is a registered broker and investment adviser with 29 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Indiana, Iowa, Kentucky, Maine, Maryland, Minnesota, Missouri, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, and West 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 pending customer complaint.

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George BatelliPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 28, 2018 indicate that New York-based Morgan Stanley broker/adviser George Batelli has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Batelli (CRD# 2756029).

George Batelli has spent twenty-one years in the securities industry and has been registered with Morgan Stanley in Paramus, New Jersey since 2009. He was previously registered with Citigroup Global Markets in Westfield, New Jersey (1996-2008; 2008-2009). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 21, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 15, 2004; Series 7 (General Securities Representative Examination), which he obtained on July 19, 1996; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on June 25, 1999. He is a registered broker and investment adviser with ten US states: California, Colorado, Connecticut, Florida, Nevada, New Jersey, New York, North Carolina, Pennsylvania, 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 pending customer complaint.

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James DuffyPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 28, 2018 indicate that New York-based Morgan Stanley broker James Duffy has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Duffy (CRD# 1652887).

James Duffy has spent 30 years in the securities industry and has been registered with Morgan Stanley in Riverhead, New York since 2009. Previous registrations include Morgan Stanley & Company in Riverhead, New York (2007-2009); Morgan Stanley DW in Riverhead, New York (2006-2007); Merrill Lynch in Southampton, New York (2006); Advest in Southampton, New York (2000-2006); First Union Securities in St. Louis, Missouri (2000); First Albany Corporation in New York, New York (1993-2000); and McLaughlin Piven Vogel Securities in New York, New York (1987-1994). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 13, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 7, 1987; Series 7 (General Securities Representative Examination), which he obtained on June 20, 1987; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on January 30, 2001; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on January 30, 2001. He is a registered broker with 25 US states and territories.

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

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Brent Henry

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 28, 2018 indicate that Arkansas-based Morgan Stanley broker/adviser Brent Henry is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Henry (CRD# 2224300).

Brent Taylor has spent 25 years in the securities industry and has been registered with Morgan Stanley in Rogers, Arkansas since 2012. He was previously registered with Merrill Lynch in Rogers, Arkansas (1992-2012). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 19, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 8, 1992; Series 7 (General Securities Representative Examination), which he obtained on June 11, 1992; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on January 18, 2000; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on November 22, 1999. He is a registered broker and investment adviser with 17 US states: Alabama, Arkansas, California, Florida, Georgia, Illinois, Iowa, Kansas, Kentucky, Michigan, Missouri, Nebraska, New York, Ohio, Oklahoma, Tennessee, and Texas. He is registered with four self-regulatory organizations: FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

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Theodore Hart

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 27, 2018 indicate that Washington, DC-based Morgan Stanley broker/adviser Theodore Hart is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hart (CRD# 1766759).

Theodore Hart has spent 30 years in the securities industry and has been registered with Morgan Stanley in Washington, DC since 2009. Previous registrations include Citigroup Global Markets in Washington, DC (2007-2009); Morgan Stanley & Company in Washington, DC (2007); Morgan Stanley DW in Washington, DC (1989-2007); Shearson Lehman Hutton in New York, New York (1989); and IFSA Corporation in Tampa, Florida (1987-1988). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 23, 1987; Series 31 (Futures Managed Funds Examination), which he obtained on July 7, 1995; and Series 7 (General Securities Representative Examination), which he obtained on December 12, 1987. He is a registered broker and investment adviser with 31 US states and territories and 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 pending customer complaint.

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Gloria WalasPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 19, 2018 indicate that Ohio-based Morgan Stanley broker/adviser Gloria Walas is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Walas (CRD# 1076428).

Gloria Walas has spent 32 years in the securities industry and has been registered with Morgan Stanley in Pepper Pike, Ohio since 2009. Previous registrations include Citigroup Global Markets in Pepper Pike, Ohio (1998-2009); JC Bradford & Company in New York, New York (1996-1998); Parker/Hunter in Pittsburgh, Pennsylvania (1995-1996); Merrill Lynch in New York, New York (1987-1994); and Smith Barney Harris Upham & Company (1984-1987). She has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on February 21, 1985; Series 15 (Foreign Currency Options Examination), which she obtained on October 9, 1985; Series 7 (General Securities Representative Examination), which she obtained on November 17, 1984; and Series 30 (NFA Branch Manager Examination), which she obtained on October 10, 1997. She is a registered broker and investment adviser with 38 US states and territories.

According to her BrokerCheck report, she has received one pending customer complaint and one customer complaint that was withdrawn.

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George Strnad Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 6, 2018 indicate that California-based Morgan Stanley broker/adviser George Strnad II is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Strnad (CRD# 1635225).

George Strnad has spent 30 years in the securities industry and has been registered with Morgan Stanley in Irvine, California since 2009. Previous registrations include Citigroup Global Markets in Brea, California (2005-2009) and Morgan Stanley DW in Purchase, New York (1987-2005). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 22, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 3, 1987; Series 3 (National Commodity Futures Examination), which he obtained on August 28, 1987; and Series 7 (General Securities Representative Examination), which he obtained on March 21, 1987. He is a registered broker and investment adviser with 32 US states and territories.

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

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Adele Polakoff Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser Adele Polakoff has received a customer complaint and was recently named in a state regulatory investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Polakoff (CRD# 865402).

Adele Polakoff has spent 38 years in the securities industry and has been registered with Morgan Stanley in Paramus, New Jersey since 2009. Previous registrations include Morgan Stanley & Company in Paramus, New Jersey (2007-2009); Morgan Stanley DW in Paramus, New Jersey (2002-2007); UBS Painewebber in Weehawken, New Jersey (1996-2002); Prudential Securities in New York, New York (1989-1996); and Thomson McKinnon Securities in New York, New York (1979-1989). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on March 7, 1994; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on January 29, 1983; and Series 7 (General Securities Representative Examination), which she obtained on April 21, 1979. She is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Georgia, Hawaii, Maine, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, and Virginia.

According to his BrokerCheck report, she has received one customer complaint, two denied customer complaints, and one pending state regulatory investigation.

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Susan GnallPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 27, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser Susan Gnall has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Gnall (CRD# 2480654).

Susan Gnall has spent 23 years in the securities industry and has been registered with Morgan Stanley in Morristown, New Jersey since 2009. Previous registrations include Morgan Stanley & Company in Morristown, New Jersey (2009) and Merrill Lynch in Warren, New Jersey (1994-2009). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 7, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 16, 1994; Series 31 (Futures Managed Funds Examination), which he obtained on May 29, 2009; and Series 7 (General Securities Representative Examination), which he obtained on June 8, 1994. She is a registered broker and investment adviser with 31 US states and territories and with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to her BrokerCheck report, she has received one pending customer complaint and one customer complaint that was withdrawn.

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Richard Udine

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 23, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser Richard Udine is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Udine (CRD# 502671).

Richard Udine has spent 39 years in the securities industry and has been registered with Morgan Stanley in Mt. Laurel, New Jersey since 2009. Previous registrations include Citigroup Global Markets in Mt. Laurel, New Jersey (2005-2009); Morgan Stanley DW in Purchase, New York (1999-2005); Prudential Securities in New York, New York (1983-1999); Dean Witter Reynolds (1979-1982); and JB Hanauer & Company (1978-1979). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 12, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 8, 1980; Series 31 (Futures Managed Funds Examination), which he obtained on February 18, 2011; Series 7 (General Securities Representative Examination), which he obtained on January 19, 1980; Series 1 (Registered Representative Examination), which he obtained on June 5, 1979; and Series 52 (Municipal Securities Representative Examination), which he obtained on February 5, 1979. He is a registered broker and investment adviser with 29 US states and territories, and 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 pending customer complaint.