Articles Tagged with Morgan Stanley

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Jeffrey ParsonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Florida-based Morgan Stanley broker/adviser Jeffrey Parson has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Parson (CRD# 2491626).

Jeffrey Parson has spent 36 years in the securities industry and has been registered with Morgan Stanley in Coral Springs, Florida since 2009. Previous registrations include Morgan Stanley & Company in Coral Springs, Florida (2007-2009); Wachovia Securities in Coral Springs, Florida (2003-2007); Prudential Securities in New York, New York (2000-2003); Painewebber in Weehawken, New Jersey (1995-2000); Kidder Peabody & Company in New York, New York (1994-1995); Smith Barney Shearson in New York, New York (1993-1994); and Lehman Brothers in New York, New York (1982-1993). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 13, 1985; Series 3 (National Commodity Futures Examination), which he obtained on October 4, 1983; and Series 7 (General Securities Representative Examination), which he obtained on August 21, 1982. He is a registered broker and investment adviser with 32 US states and territories.

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

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Jason BeemPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former Kentucky-based Morgan Stanley broker/adviser Jason Beem was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Beem (CRD# 3083143).

Jason Beem has spent nineteen years in the securities industry and was most recently registered with Morgan Stanley in Louisville, Kentucky (2011-2018). He was previously registered with UBS Financial Services in Louisville, Kentucky (1998-2011). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 15, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 1, 1998; Series 31 (Futures Managed Funds Examination), which he obtained on March 31, 2006; and Series 7 (General Securities Representative Examination), which he obtained on August 25, 1998. He is currently not registered with any state or firm.

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

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William BridgersPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2018 indicate that South Carolina-based Morgan Stanley broker/adviser William Bridgers is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bridgers (CRD# 30367).

William Bridgers has spent 52 years in the securities industry and has been registered with Morgan Stanley in Charleston, South Carolina since 2009. Previous registrations include Citigroup Global Markets in Hilton Head, South Carolina (2001-2009); the Robinson-Humphrey Company in Atlanta, Georgia (1990-2001); Smith Barney Harris Upham & Company in New York, New York (1985-1990); Merrill Lynch (1978-1985); and Merrill Lynch (1965-1978). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 7, 1982; Series 5 (Interest Rate Options Examination), which he obtained on October 26, 1981; PC (AMEX Put and Call Exam), which he obtained on September 8, 1977; Series 1 (Registered Representative Examination), which he obtained on September 17, 1965; and Series 40 (Registered Principal Examination), which he obtained on June 23, 1978. He is a registered broker and investment adviser with 28 US states and territories.

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

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Ken KavanaghPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former New York-based Morgan Stanley broker Ken Kavanagh, who has received a customer dispute, recently resigned from his 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 Mr. Kavanagh (CRD# 4502223).

Ken Kavanagh has spent 16 years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2009-2018). Previous registrations include Citigroup Global Markets in New York, New York (2006-2009) and UBS Financial Services in Weehawken, New Jersey (2002-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 2, 2002, and Series 7 (General Securities Representative Examination), which he obtained on April 11, 2002. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and recently resigned from his former employer in connection to alleged misconduct.

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Theodore ColemanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 23, 2018 indicate that California-based Morgan Stanley broker/adviser Theodore Coleman has received several pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Coleman (CRD# 50839).

Theodore Coleman has spent 53 years in the securities industry and has been registered with Morgan Stanley in Pasadena, California since 2013. Previous registrations include UBS Financial Services in Los Angeles, California (1995-2013); Kidder Peabody & Company in New York, New York (1978-1995); Kidder Peabody & Company (1974-1978); Clark Dodge & Company (1972-1974); and Paine Webber Jackson & Curtis (1965-1972). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 29, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 17, 1984; PC (AMEX Put and Call Exam), which he obtained on August 15, 1977; Series 1 (Registered Representative Examination), which he obtained on May 13, 1965; Series 40 (Registered Principal Examination), which he obtained on January 29, 1973; and Series 12 (NYSE Branch Manager Examination), which he obtained on July 14, 1969. He is registered broker and investment adviser with 18 US states and territories: Arizona, California, the District of Columbia, Florida, Georgia, Hawaii, Idaho, Maine, Maryland, Massachusetts, Michigan, Missouri, Nevada, Oregon, Pennsylvania, Utah, Virginia, and Washington. 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 three customer complaints.

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Michael ChristiansPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that Texas-based Morgan Stanley broker/adviser Michael Christians has been named in a pending FINRA complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Christians (CRD# 2773112).

Michael Christians has spent 21 years in the securities industry and was most recently registered with Morgan Stanley in Plano, Texas (2009-2018). Previous registrations include Morgan Stanley & Company in Plano, Texas (2007-2009); Morgan Stanley DW in Dallas, Texas (1999-2007); and Morgan Keegan & Company in Memphis, Tennessee (1996-1999). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 4, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 13, 1996; Series 3 (National Commodity Futures Examination), which he obtained on December 13, 2001; Series 31 (Futures Managed Funds Examination), which he obtained on September 21, 1998; Series 7 (General Securities Representative Examination), which he obtained on September 10, 1996; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on August 4, 2000; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on July 28, 2000. He is currently not registered with any state or firm.

According to his BrokerCheck report, Michael Christians was recently discharged from his former employer and has been named in a pending FINRA complaint.

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Ian Deliz MoralesPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 25, 2018 indicate that former Florida-based Morgan Stanley broker Ian Deliz Morales, who has received numerous resolved or pending customer disputes, is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Morales (CRD# 4697350).

Ian Deliz Morales has spent 13 years in the securities industry and was most recently registered with Morgan Stanley in Tampa, Florida (2014-2016). Previous registrations include Popular Securities in San Juan, Puerto Rico (2007-2014) and Citigroup Global Markets in San Juan, Puerto Rico (2003-2007). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 16, 2003, and Series 7 (General Securities Representative Examination), which he obtained on September 18, 2003. He is currently not registered with any state or firm.

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

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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.