Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained losses due to the actions of Lawrence William Catena (CRD: 2037155, Naples, Florida). Notably, Catena has been registered with Morgan Stanley in Naples, Florida, and Mantoloking, New Jersey, since December 4, 2020. Additionally, he was affiliated with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Naples, Florida, from October 9, 1990, to December 7, 2020. Evidently, Lawrence Catena faces allegations of unsuitable recommendations, particularly from clients at Morgan Stanley.
Specifically, a client of Morgan Stanley Smith Barney challenged Lawrence Catena's investment advice by filing FINRA Arbitration: 22-00935 on April 28, 2022. Supposedly, Catena recommended investments that were unsuitable for the client, specifically between December 2021 and May 2022. It appears that these unsuitable investment recommendations, particularly in structured products and mutual funds, led the client to incur damages. Therefore, the client is seeking an unspecified amount in damages from Morgan Stanley Smith Barney or Catena in this unresolved case.
Specifically, another client of Morgan Stanley Smith Barney questioned Lawrence Catena’s investment practices, filing FINRA Arbitration: 22-00632 on March 23, 2022. The client alleged that Catena made unsuitable investment recommendations, particularly from January 2020 to February 2022. These alleged unsuitable investments were mainly in structured products and mutual funds. As a result, the client claims to have sustained damages and is seeking an unspecified amount in compensation from either Morgan Stanley Smith Barney or Catena. Additionally, this arbitration matter is still pending.
Did you experience losses because of Lawrence Catena? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered money for investors throughout the United States, works on a contingency fee basis, and advances all costs. Catena and the brokerage firms he has worked for deny accusations of sales practice violations.
RONALD G SMITH (RON G SMITH) was formerly registered with SPARTAN CAPITAL SECURITIES of New York, NY from 07/01/2013 - 12/26/2023, and most recently with SANFORD C BERSTEIN & CO of Stamford, Connecticut from 01/11/2024 – 11/10/2025, was permanently barred by FINRA with the starting date of 11/10/2025. According to the FINRA report, without admitting […]
Jacob Lee Harper (Jacob L Harper, Jake Harper) formerly registered as a broker and a financial advisor, was suspended for twenty-two months and fined $17,500.00 after FINRA alleged he borrowed thousands of dollars from clients without his firm’s knowledge and later allegedly provided false information to regulators. The “Regulatory” disclosure on BrokerCheck is dated 11/10/2025. […]
Investors potentially incurred losses because of securities broker Daniel W. Ladner [CRD: 2932904, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Daniel Ladner has been registered with UBS Financial Services Inc. since November 7, 2008. Read on to discover more about Daniel Ladner’s disclosures. UBS Financial Services Inc. […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com