Soreide Law Group is looking into potential claims on behalf of investors who have suffered losses because of Nordo Mauro Nissi [CRD: 1666385, York, Maine]. Evidently, Nissi worked for M. S. Howells Co. and Morgan Stanley. Notably, Nissi's record is marked by multiple client complaints and a regulatory action. Below, investors will find details on the disclosures linked to Nordo Nissi.
A Morgan Stanley investor filed FINRA Arbitration No. 20-00294, targeting Nordo Nissi. The investor claimed Nissi made unsuitable recommendations as well as omissions and misrepresentations about investments. Additionally, the claim included allegations of insufficient supervision by Morgan Stanley, leading to losses in variable annuities. Morgan Stanley settled this case by compensating the client $55,000 on June 27, 2022.
Massachusetts took action against Nordo Nissi on October 11, 2018, due to sixteen disclosure incidents, comprising three client complaints, two bankruptcy disclosures, nine tax liens, and one employment termination. As a result, Nordo Nissi was placed under heightened supervision for up to five years as an investment adviser representative.
Also, an MSSB client disputed Nordo Nissi's sales practices, citing unsuitable investment activities from April 2012 to June 2015. The client, who experienced losses in variable annuities, sought compensatory relief from MSSB or Nissi. However, the complaint was ultimately denied without any settlement or contribution from Nissi.
A Morgan Stanley Smith Barney client accused Nordo Nissi of unauthorized trading in equities and closed-end funds between May and July of 2009. The client sought $12,000 in compensation from the firm or Nissi. This complaint, too, was denied without any settlement or contribution from Nissi.
Nordo Nissi voluntarily resigned from Morgan Stanley Wealth Management on April 9, 2018, after allegations emerged regarding his undisclosed involvement with an outside registered investment advisor, leading to his termination from the firm.
If you've encountered losses due to Nordo Nissi's actions, consider reaching out to Soreide Law Group online or at (888) 760-6552. Explore your options for potentially recovering your investment losses with a securities attorney. Soreide Law Group, advocating for investors nationwide on a contingency fee basis, advances all costs. Nissi and his past employers refute all allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Phone:
Fax: 1-954-760-6553
Email: [email protected]