Articles Tagged with Morgan Stanley

Published on:

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.

Published on:

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.

Published on:

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.

Published on:

Michael Sperlinga

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 29, 2017 indicate that California-based Morgan Stanley broker/adviser Michael Sperlinga has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sperlinga (CRD# 2471775).

Michael Sperlinga has spent 23 years in the securities industry and has been registered with Morgan Stanley in Carlsbad, California since 2011. He was previously registered with Merrill Lynch in Boston, Massachusetts (1994-2011). 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 39 US states and territories.

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

Published on:

Gidon NachPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 28, 2017 indicate that California-based Morgan Stanley broker/adviser Gidon Nach has been the subject of a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Nach (CRD# 2694862).

Gidon Nach has spent 16 years in the securities industry and has been registered with Morgan Stanley in Beverly Hills, California since 2016. Previous registrations include JP Morgan Securities in Los Angeles, California (2014-2016); Morgan Stanley in Beverly Hills, California (2009-2014); Morgan Stanley & Company in Beverly Hills, California (2007-2009); Morgan Stanley DW in Beverly Hills, California (2003-2007); Bear Stearns & Company in New York, New York (1998-2000); Northwestern Mutual Life Investment Services in Milwaukee, Wisconsin (1996); and Robert W. Baird & Company in Milwaukee, Wisconsin (1996). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker and investment adviser with fifty-one US states and territories.

According to his BrokerCheck report, Gidon Nach has received one customer complaint.

Published on:

Albert PearcePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 28, 2017 indicate that Alabama-based Morgan Stanley broker/adviser Albert Pearce has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pearce (CRD# 1277536).

Albert Pearce has spent 33 years in the securities industry and has been registered with Morgan Stanley in Huntsville, Alabama since 2009. Previous registrations include Morgan Stanley & Company in Huntsville, Alabama (2007-2009) and Morgan Stanley DW in Huntsville, Alabama (1984-2007). He has passed three securities industry examinations: 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 11 US states and territories: Alabama, Florida, Georgia, Kentucky, Louisiana, Michigan, Mississippi, New Jersey, Tennessee, Texas and Virginia. He is registered with the following 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.

Published on:

Matthew AndersonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 28, 2017 indicate that Kansas-based Morgan Stanley broker/adviser Matthew Anderson has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Anderson (CRD# 4783763).

Matthew Anderson has spent 13 years in the securities industry and has been registered with Morgan Stanley in Wichita, Kansas since 2009. Previous registrations include Morgan Stanley & Company in Wichita, Kansas (2007-2009) and Morgan Stanley DW in Wichitah, Kansas (2004-2007). He has passed three securities industry examinations: Series 66 (Uniform Combined 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 35 US states and territories.

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

Published on:

Michael PeacockPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 28, 2017 indicate that Florida-based Morgan Stanley broker/adviser Michael Peacock has received customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Peacock (CRD# 1720299).

Michael Peacock has spent 29 years in the securities industry and has been registered with Morgan Stanley in West Palm Beach, Florida since 2016. Previous registrations include Wells Fargo Advisors in West Palm Beach, Florida (2007-2016); Citigroup Global Markets in New York, New York (1989-2007); and Drexel Burnham Lambert (1988-1989). 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 3 (National Commodity Futures Examination). He is a registered broker and investment adviser with 33 US states and territories.

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

Published on:

Stephen BrehmerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 17, 2017 indicate that Illinois-based Morgan Stanley broker Stephen Brehmer has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brehmer (CRD# 801698).

Stephen Brehmer has spent 42 years in the securities industry and has been registered with Morgan Stanley in Deerfield, Illinois since 2009. Previous registrations include Morgan Stanley & Company in Riverwoods, Illinois (2007-2009); Morgan Stanley DW in Riverwoods, Illinois (1981-2007); Oppenheimer & Company (1977-1981); Bache Halsey Stuart Shields (1977); Bache Halsey Stuart (1976-1977); and Bache & Company (1974-1976). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 5 (Interest Rate Options Examination); Series 7 (General Securities Representative Examination); and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]). He is a registered broker with 24 US states and territories.

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

Published on:

Michael Schuchman Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 15, 2017 indicate that Michigan-based Morgan Stanley broker/adviser Michael Schuchman has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Schuchman (CRD# 4437315).

Michael Schuchman has spent 16 years in the securities industry and has been registered with Morgan Stanley in Birmingham, Michigan since 2009. Previous registrations include Morgan Stanley & Company in Birmingham, Michigan (2009); UBS Financial Services in Birmingham, Michigan (2003-2009); and Merrill Lynch in New York, New York (2001-2003). He has passed three securities industry examinations; Series 66 (Uniform Combined 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 25 US states and territories: Alaska, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, Minnesota, Montana, Nevada, New Jersey, New York, Ohio, Oklahoma, Pennsylvania, Rhode Island, Tennessee, Texas and Washington.

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