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.