Articles Tagged with Morgan Stanley

Published on:

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.

Published on:

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.

Published on:

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.

Published on:

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.

Published on:

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.

Published on:

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.

Published on:

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.

Published on:

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.

Published on:

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.

Published on:

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.