Investors Complain About Morgan Stanley Brokers Anthony Mampieri, James Willer, Thomas Srachta, Trent Ahlers

Anthony Ralph Mampieri (CRD#: 1653703, Boca Raton, Florida) is a Morgan Stanley Smith Barney securities representative. Supposedly, on October 13, 2016, a customer of Morgan Stanley brought a customer dispute in regard to Anthony Mampieri’s sales practices. Allegedly, from 2011 to 2016, Anthony Mampieri unreasonably invested the customer’s assets in structured products. Supposedly, those structured product transactions were not suitable for the customer. Because of this, Morgan Stanley settled the Arbitration by paying the customer $110,000. However, the firm did not admit to being liable for Anthony Mampieri’s trading practices. Formerly, Anthony Mampieri worked at Robert W. Baird and Northwestern Mutual Investment Services, LLC.

Morgan Stanley Brings Complaint Concerning James Willer, Failure To Supervise

James Francis Willer (CRD#: 467367, Des Moines, Iowa) is a general securities representative of Morgan Stanley. Apparently, James Willer joined the firm’s Des Moines, Iowa offices on June 1, 2009. According to James Willer’s FINRA BrokerCheck Report, a customer filed a complaint about him on March 16, 2018. Allegedly, the customer claimed that James Willer or Morgan Stanley Smith Barney failed to supervise the customer’s account. Apparently, this lack of supervision took place from 2007 through 2017 in connection with the customer’s managed account. Because of this, the customer seeks compensatory relief of an undisclosed amount. Formerly, James Willer was a general securities representative of Citigroup Global Markets Inc.

Complaint Filed By Morgan Stanley Customer Concerning Thomas Srachta, Misrepresentation

Thomas Douglas Srachta (CRD#: 432837, Joliet, Illinois) is an ex Morgan Stanley registered representative. Like the case with Anthony Mampieri and James Willer, Thomas Srachta disclosed on FINRA BrokerCheck that a customer took aim at his sales practices. Particularly, on April 23, 2018, the customer filed a complaint with Morgan Stanley Smith Barney alleging misrepresentation. Supposedly, Thomas Srachta misled the customer or otherwise made false statements about closed end funds. Because of this, the customer permitted the closed end fund transactions and since incurred losses. Evidently, the customer is seeking undisclosed compensatory damages for the alleged misrepresentation. Evidently, Thomas Srachta worked for Morgan Stanley firms from June 27, 2003 to December 14, 2017.

Morgan Stanley Customer Alleges Trent Ahlers Sold Unsuitable Investments

Trent Alan Ahlers (CRD#: 4539231, Peoria, Illinois) is another of Morgan Stanley’s securities representatives facing accusations of sales practice violations. The FINRA BrokerCheck Report for Trent Ahlers shows that multiple customers filed Lawsuit #17-L-00212 on August 16, 2017. Apparently, customers claimed Trent Ahlers made unsuitable trades for their In-House Money Manager accounts. Supposedly, Trent Ahlers traded without consideration of the customers’ investment objectives, financial status, or risk tolerance. Because of this, the customers alleged $50,000 in damages in this unresolved matter. Evidently, Trent Ahlers worked for Morgan Stanley from 2011 to 2016. Currently, Trent Ahlers is a general securities representative of Merrill Lynch.

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