JOHN HOAGLAND Allegedly Makes Unauthorized Trades Soreide Law Group is reviewing possible claims of sales practice violations against Morgan Stanley securities broker John Hoagland (CRD#: 247075, Troy, Michigan). Namely, Hoagland, who worked at Morgan Stanley from June 1, 2009 to January 18, 2018, reports on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report that three […]

ATTENTION INVESTORS: FINRA Fines, Suspends Morgan Stanley Broker FRANK VENABLE The Financial Industry Regulatory Authority (FINRA) announced January 3, 2019 that Morgan Stanley general securities representative Frank Venable (CRD#: 1461515, Knoxville, Tennessee) will be suspended and must pay a $5,000 fine for trading without permission in accounts of Morgan Stanley clients. Specifically, in a Letter […]

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 […]

Former Morgan Stanley Broker, STEWART CLINTON MALLOY, Barred by FINRA Soreide Law Group, based in Florida, obtained the following information from FINRA’s website listed under, “Disciplinary and Other FINRA Actions,” March 2019: STEWART CLINTON MALLOY (CRD #1029931, The Villages, Florida) According to FINRA, an Office of Hearing Officers (OHO) decision became final in which STEWART […]

Suffered Losses From Morgan Stanley Broker Kirk J. Gill? Morgan Stanley Smith Barney broker Kirk J. Gill (CRD#: 2291503, Tucson, Arizona) reported a FINRA Arbitration #19-00122 from January 11, 2019 concerning his possible unsuitable sales practices. Apparently, Gill or the firm put the Morgan Stanley customer in inappropriate energy stocks between 2011 and 2016. Moreover, […]

James Polese Sentenced to 5 Years On Tuesday, an ex-Morgan Stanley adviser was sentenced to jail for five years after he confessed to misappropriating client funds to invest in a wind farm project. He also admitted to paying his children’s tuition fees and taking care of other personal expenses with the funds. FORMER ADVISER FOR […]

Former NFL Star and Lottery Winner Are both Awarded $4.2 Million In A Lawsuit Against Morgan Stanley A former NFL star and a lottery millionaire has won a lawsuit against Morgan Stanley to the tune of $4.2 million after a Finra arbitration panel slammed the firm for failure to supervise one of its brokers who […]

Morgan Stanley Terminates Brokers Jill Cade, David Cote, Jesse Weissberger Morgan Stanley is both a brokerage firm registered with Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm registered with Securities and Exchange Commission (“SEC”). FINRA BrokerCheck reports that the firm has been in 45 regulatory matters in which the firm allegedly violated FINRA rules […]

Securities Regulator Finds Justin Amaral Churned Investor Accounts Justin Amaral (CRD#: 4440980, Boston, Massachusetts) is a prior Morgan Stanley securities broker (June 1, 2009 to May 7, 2014) that was referenced in a State of New Hampshire Department of State Bureau of Securities Regulation Consent Order #149777 in which Morgan Stanley agreed to pay three […]