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July 7, 2024
William Collins Facing Morgan Stanley Client Disputes Over Unauthorized Trading

Investors might have sustained losses due to securities broker William Lief Collins (also known as Bill Collins) [CRD: 2787822, Farmington Hills, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, William Collins worked for Morgan Stanley from May 28, 2010, to September 21, 2023. Keep reading to learn more about the securities […]

August 3, 2023
FINRA Sanctions Richard Spettell

Soreide Law Group is investigating possible investor claims against Richard F. Spettell (also known as Richard Frederic Spettell) (CRD: 1686392, New York, New York). Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Spettell caused the securities firm to maintain false records or books. Here is a brief summary of FINRA’s allegations […]

August 1, 2023
Paul Brent Faced Allegations Of Misrepresentation

Investors have come forward with complaints about securities broker Paul Joseph Brent (CRD: 2470612, Gross Pointe Farms, Michigan). Notably, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan Stanley clients allege that Brent made misrepresentations. For more on these disclosures about Brent, see below. […]

July 22, 2023
Ivan Gefen Faced Allegations Of Negligence

Soreide Law Group is investigating possible investor claims against Ivan Richard Gefen (CRD: 1229418, Boca Raton, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Newbridge Securities Corporation. Evidently, one or more investors alleged misconduct in these disputes, including that Gefen was […]

July 18, 2023
Daniel Sherman Disclosed Allegations Of Unsuitable Advice

Investors have come forward with complaints about securities broker Daniel Jay Sherman (CRD: 2136218, New York, New York). Notably, the securities broker, who worked for Morgan Stanley Smith Barney LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan Stanley Smith Barney LLC clients allege that Sherman made unsuitable recommendations. For more […]

July 17, 2023
Investors Complain About Corey Engelhard

Investors have come forward with complaints about securities broker Corey Jon Engelhard (CRD: 2788550, Plantation, Florida). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley clients allege that Engelhard made unsuitable recommendations. For more on these disclosures about Engelhard, see below. Engelhard […]

June 22, 2023
Investor Dispute About John Forster

Investors have come forward with complaints about John James Forster (CRD: 1303832, Washington, DC). Evidently, the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Also, a Merrill Lynch Pierce Fenner Smith Incorporated client alleges that Forster failed to act in the client's […]

June 18, 2023
Bruce Davis Discloses Allegations Of Breach Of Fiduciary Duty

Investors have come forward with complaints about Bruce Allen Davis (CRD: 1183438, Aventura, Florida). Evidently, the securities broker, who worked for Morgan Stanley Smith Barney, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Morgan Stanley Smith Barney clients allege that Davis breached a fiduciary duty. For more on these disclosures about Davis, […]

May 27, 2023
Morgan Stanley Terminates Chris Stocks

Soreide Law Group is investigating possible investor claims against securities broker Chris Stocks (CRD: 2600346, Scottsdale, Arizona). Evidently, Morgan Stanley terminated the securities broker for cause. Here is a brief summary of the allegations against Stocks. Morgan Stanley Disaffiliates With Stocks For Outside Business Activities Supposedly, on November 11, 2021, Morgan Stanley disaffiliated with Stocks. […]

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