Articles Tagged with Morgan Stanley

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Timothy GibbonsPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 30, 2018 indicate that former Louisiana-based Morgan Stanley broker/adviser Timothy Gibbons has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gibbons (CRD# 219872).

Timothy Gibbons has spent 42 years in the securities industry and was most recently registered with Morgan Stanley in New Orleans, Louisiana (2009-2015). Previous registrations include Citigroup Global Markets in New Orleans, Louisiana (2006-2009); Legg Mason Wood Walker in Baltimore, Maryland (1988-2006); and Howard Weil Labouisse Friedrichs (1973-1988). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 11, 1988; Series 15 (Foreign Currency Options Examination), which he obtained on December 13, 1982; Series 5 (Interest Rate Options Examination), which he obtained on November 17, 1981; PC (AMEX Put and Call Exam), which he obtained on September 7, 1977; and Series 1 (Registered Representative Examination), which he obtained on April 18, 1973. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, he has been sanctioned by FINRA and received one regulatory complaint.

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Christopher MontgomeryPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that Texas-based Morgan Stanley broker/adviser Christopher Montgomery has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Montgomery (CRD# 2907130).

Christopher Montgomery has spent 20 years in the securities industry and has been registered with Morgan Stanley in Houston, Texas since 2009. Previous registrations include Citigroup Global Markets in Houston, Texas (2008-2009); UBS Financial Services in Houston, Texas (1998-2008); and AG Edwards & Sons in St. Louis, Missouri (1997-1998). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 21, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on June 11, 2009; and Series 7 (General Securities Representative Examination), which he obtained on August 14, 1987. He is a registered broker and investment adviser with eleven US states and territories: California, Colorado, the District of Columbia, Florida, Illinois, Louisiana, Maryland, Massachusetts, Mississippi, Oklahoma, and Texas. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Exchange, and the New York Stock Exchange.

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

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Peter SeminaraPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser Peter Seminara is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Seminara (CRD# 4260621).

Peter Seminara has spent 16 years in the securities industry and has been registered with Morgan Stanley in Florham Park, New Jersey since 2012. Previous registrations include UBS Financial Services in Florham Park, New Jersey (2005-2012) and Morgan Stanley DW in Purchase, New York (2001-2005). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 15, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 3, 2001; Series 31 (Futures Managed Funds Examination), which he obtained on May 10, 2005; and Series 7 (General Securities Representative Examination), which he obtained on March 15, 2001. He is registered as a broker and investment adviser with 26 US states 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 one pending customer complaint.

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Joseph OlexaPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that Indiana-based Morgan Stanley broker/adviser Joseph Olexa has received a customer dispute that was denied. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Olexa (CRD# 2939331).

Joseph Olexa has spent 17 years in the securities industry and has been registered with Morgan Stanley in Indianapolis, Indiana since 2009. Previous registrations include JP Morgan Securities in Indianapolis, Indiana (2006-2009) and Banc One Securities Corporation in Indianapolis, Indiana (2000-2006). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 22, 2001; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 18, 1997; Series 7 (General Securities Representative Examination), which he obtained on December 11, 2000; and Series 24 (General Securities Principal Examination), which he obtained on March 22, 2004. He is a registered broker and investment adviser with 19 US states and territories: Alaska, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Michigan, Missouri, Montana, Ohio, Pennsylvania, Tennessee, and Virginia. He is also registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Exchange, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint that was denied.

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Jonathan LonskePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that Massachusetts-based Morgan Stanley broker Jonathan Lonske has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lonske (CRD# 2594921).

Jonathan Lonske has spent 21 years in the securities industry and has been registered with Morgan Stanley in Boston, Massachusetts since 2009. Previous registrations include Citigroup Global Markets in Boston, Massachusetts (2008-2009); Morgan Stanley & Company in Boston, Massachusetts (2007-2008); Morgan Stanley DW in Boston, Massachusetts (2001-2007); UBS Painewebber in Weehawken, New Jersey (1999-2001); Merrill Lynch in New York, New York (1996-1999); and Gruntal & Company in New York, New York (1996). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 23, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 23, 1996; Series 31 (Futures Managed Funds Examination), which he obtained on October 21, 2002; and Series 7 (General Securities Representative Examination), which he obtained on February 12, 1996. He is a registered broker with 26 US states and territories.

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

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William TuckerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 12, 2017 indicate that former Florida-based Morgan Stanley broker/adviser William Tucker Jr. has received a denied customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tucker (CRD# 1793101).

William Tucker has spent 25 years in the securities industry and was most recently registered with Morgan Stanley in St. Petersburg, Florida (2009-2017). Previous registrations include Morgan Stanley & Company in St. Petersburg, Florida (2007-2009) and Morgan Stanley DW in St. Petersburg, Florida (1991-2007). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 11, 1992; Series 31 (Futures Managed Funds Examination), which he obtained on September 13, 2003; and Series 7 (General Securities Representative Examination), which he obtained on December 19, 1991. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, William Tucker Jr. has received one customer complaint that was denied.

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Stephanie AbeePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that former Maryland-based Morgan Stanley broker/adviser Stephanie Abee has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Abee (CRD# 5888654).

Stephanie Abee has spent six years in the securities industry and has been registered with Cambridge Investment Research in Raleigh, North Carolina since 2016. Previous registrations include TransAmerica Financial Advisors in Raleigh, North Carolina (2013-2016); NFP Securities in Raleigh, North Carolina (2012-2013); and TransAmerica Financial Advisors in Raleigh, North Carolina (2011-2012). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on October 7, 2011, and Series 7 (General Securities Representative Examination), which she obtained on April 20, 2011. She is a registered broker and investment adviser with eleven US states and territories: Arizona, Delaware, the District of Columbia, Kentucky, Maryland, Minnesota, North Carolina, Ohio, Oregon, Pennsylvania and Virginia.

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

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Charles Lease

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that former Maryland-based Morgan Stanley broker/adviser Charles Lease is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lease (CRD# 304705).

Charles Lease has spent 50 years in the securities industry and was most recently registered with Morgan Stanley in Annapolis, Maryland (2009-2017). Previous registrations include Morgan Stanley & Company in Annapolis, Maryland (2007-2009); Morgan Stanley DW in Annapolis, Maryland (1989-2007); Shearson Lehman Hutton in New York, New York (1982-1989); Kidder Peabody & Company (1980-1982); Merrill Lynch (1978-1979); White Weld & Company (1975-1978); and Butcher & Singer (1967-1975). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 24, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 4, 1986; Series 3 (National Commodity Futures Examination), which he obtained on October 17, 1983; PC (AMEX Put and Call Exam), which he obtained on July 1, 1977; Series 000 (General Securities Principal Examination), which he obtained on July 1, 1966; and Series 1 (Registered Representative Examination), which he obtained on June 8, 1966. He is currently not registered with any state or firm.

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

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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.