Morgan Stanley’s James Polese Dealt Prison Sentence For Fraud James Polese (CRD#: 2636427, Boston, Massachusetts), who is a prior Morgan Stanley investment advisor, is going to prison for committing fraud. Polese pleaded guilty to eight counts of felony bank fraud, one count of felony conspiracy, one count of investment adviser fraud, and one count of […]

Suitability Claims Lodged Against Morgan Stanley Broker James E. Brooks James E. Brooks (CRD#: 31604, Boca Raton, Florida) is a prior financial advisor of Morgan Stanley. The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Brooks shows that Brooks’ sales practices have been contested by at least four investors through their filing of investment-related complaints […]

Customers Allege Against Morgan Stanley Sold Unsuitable Investments Morgan Stanley (CRD#: 149777, Purchase, New York) is a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm and Securities and Exchange Commission (“SEC”) registered investment adviser firm. Evidently, Morgan Stanley has been party to forty-three regulatory events regarding its apparent violations of investment-related regulations or rules. At […]

Customers Of Morgan Stanley Allegedly Sold Unsuitable Investments Christopher James Butler (CRD #: 1894450, Woodland Hills, California) is presently a Morgan Stanley registered representative. According to Christopher James Butler’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report, his activities have caused customers of Morgan Stanley and Prudential Securities to lodge disputes with their respective firms referencing […]

Morgan Stanley Broker Fined And Suspended For Settling Away Morgan Stanley Broker Fined And Suspended For Settling Away Lewis Howard Robinson (CRD #1630516, Aventura, Florida) has been a registered representative of Morgan Stanley between December 2, 2009 and October 9, 2015. Robinson consented to being suspended by Financial Industry Regulatory Authority (“FINRA”) and paying a […]

Soreide Law Group is currently investigating the following funds on behalf of clients: MM Community Funding II and III, South Coast Funding Ltd. II, and Fort Point CDO I, Ltd. Some of these funds were sold by Citigroup and/or Morgan Stanley. MM Community III is a collateralized debt obligation(CDO), which closed April 10, 2002. MM […]

Soreide Law Group is currently investigating the following funds on behalf of clients: MM Community Funding II and III, South Coast Funding Ltd. II, and Fort Point CDO I, Ltd. Some of these funds were sold by Citigroup and/or Morgan Stanley. MM Community III is a collateralized debt obligation(CDO), which closed April 10, 2002. MM […]

Former Morgan Stanley Mystic, Connecticut financial advisor Denis O'Brian, was sued on Thursday, October 31st by Morgan Stanley's wealth management division. They claimed O'Brian falsified 206 client phone numbers before leaving the firm according to an article in Reuters. Allegedly, O'Brien changed the phone numbers for 156 client accounts on the firm's computer systems the […]

Former Morgan Stanley Mystic, Connecticut financial advisor Denis O'Brian, was sued on Thursday, October 31st by Morgan Stanley's wealth management division. They claimed O'Brian falsified 206 client phone numbers before leaving the firm according to an article in Reuters. Allegedly, O'Brien changed the phone numbers for 156 client accounts on the firm's computer systems the […]