Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 7, 2018 indicate that former New Jersey-based Morgan Stanley broker/adviser John Guzy has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Guzy (CRD# 232558).
John Guzy has spent 35 years in the securities industry and was most recently registered with Morgan Stanley in Morristown, New Jersey (2009-2017). Previous registrations include Citigroup Global Markets in Morristown, New Jersey (1986-2009)’; McLaughlin Piven Vogel (1986); Stanley Company (1986); Herzfeld & Stern (1982-1983); Hamilton/Cooke & Company (1976-1980); Northfield Investments (1978-1979); and Hibbard O’Connor Securities. He has passed four securities industry examinations: Series 65 (Uniform Combined State Law Examination), which he obtained on May 18, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 1, 1986; Series 7 (General Securities Representative Examination), which he obtained on November 20, 1982; and Series 1 (Registered Representative Examination), which he obtained on May 9, 1974. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.
In September 2017 a customer alleged John Guzy, while employed at Morgan Stanley Smith Barney, recommended unsuitable municipal bond investments from 2012 to 2015. The customer is seeking $100,000 in damages in the pending complaint.
In 2005 a customer alleged John Guzy, while employed at Smith Barney, mishandled her account. The customer sought $150,000 in damages in the complaint, which was denied.
In 2004 a customer alleged John Guzy, while employed at Salomon Smith Barney, breached contract, breached his fiduciary duty, acted negligently, made unsuitable investment recommendations, and violated state and federal law. The complaint settled for $26,750.
If you or someone you know has complaints regarding John Guzy, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.