Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Christian Eduardo De Berardinis (also known as Christian DeBerardinis) [CRD#: 4312327, New York, New York]. Christian De Berardinis worked for Morgan Stanley from July 2015 to July 2023. Recent disclosures raise concerns about De Berardinis’ conduct, including allegations of participating in unapproved private securities transactions.
On March 1, 2023, a client of Morgan Stanley filed a FINRA arbitration claim (Case No. 23-00507) alleging that Christian De Berardinis solicited unauthorized investment opportunities from February 20, 2020, to March 1, 2023. The claims involved managed/wrap accounts and non-broker-dealer affiliates. The client requested $6,500,000 in damages, citing allegations of outside investment solicitation not authorized by Morgan Stanley.
The matter settled on January 17, 2024, with Morgan Stanley agreeing to pay $1,350,000 to resolve the claim. De Berardinis did not contribute financially to the settlement.
On September 19, 2024, FINRA filed regulatory action (Case No. 2023079207702) against Christian De Berardinis for engaging in unapproved private securities transactions while associated with Morgan Stanley. FINRA alleged that De Berardinis facilitated investments totaling $2.45 million in a dairy company, recommending the investments to clients, assisting with paperwork, and transferring funds from client accounts to the company. He received $22,500 in referral fees from the company and allegedly provided false responses on annual firm compliance questionnaires regarding his involvement in private securities transactions.
De Berardinis consented to sanctions under an Acceptance, Waiver & Consent (AWC) agreement without admitting or denying the findings. Sanctions included a $15,000 civil penalty, disgorgement of $22,500, and a suspension from all FINRA capacities for 24 months, effective October 7, 2024, through October 6, 2026.
On June 22, 2023, Christian De Berardinis voluntarily resigned from Morgan Stanley after allegations arose that he engaged in offers or sales of securities not approved by the firm. De Berardinis attributed his resignation to his desire to establish his own Registered Investment Advisory (RIA) firm, Aperture Advisors LLC. The firm’s allegations involved private placement transactions and equity private securities.
Looking for more information about Christian De Berardinis? If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. The team at Soreide Law Group assists investors across the country with recovering losses from sales practice misconduct. De Berardinis and the firms he worked for deny accusations of sales practice violations.
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