Articles Tagged with Morgan Stanley

David Olson

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2018 indicate that former Florida-based Morgan Stanley broker David Olson, who has received several customer disputes, was recently sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Olson (CRD# 1700644).

David Olson has spent 29 years in the securities industry and was most recently registered with Morgan Stanley in St. Petersburg, Florida (2010-2017). Previous registrations include Merrill Lynch in Clearwater, Florida (2009-2010); Banc of America Investment Services in Belleair Bluffs, Florida (2004-2009); UBS Financial Services in Weehawken, New Jersey (1999-2004); Prudential Securities in New York, New York (1989-1999); Thomson McKinnon in New York, New York (1989); and Painewebber (1987-1989). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 28, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 5, 1987; Series 3 (National Commodity Futures Examination), which he obtained on December 15, 1989; and Series 7 (General Securities Representative Examination), which he obtained on July 18, 1987. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received six customer complaints and two regulatory sanctions.

Anthony DacruzPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Morgan Stanley broker/adviser Anthony Dacruz has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dacruz (CRD# 1259435).

Anthony Dacruz has spent 34 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2011. Previous registrations include RBC Capital Markets in New York, New York (2009-2011); JB Hanauer & Company in Parsippany, New York (1984-2009); and Merrill Lynch (1984-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 25, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 15, 1984; Series 7 (General Securities Representative Examination), which he obtained on April 14, 1984; and Series 24 (General Securities Principal Examination), which he obtained on October 21, 1996. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Massachusetts, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, and Virginia.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2018 indicate that Maryland-based Morgan Stanley broker/adviser Alan Hess has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hess (CRD# 734166).

Alan Hess has spent 36 years in the securities industry and has been registered with Morgan Stanley in Baltimore, Maryland since 2009. Previous registrations include Citigroup Global Markets in Pikesville, Maryland (2006-2009); Legg Mason Wood Walker in Baltimore, Maryland (1987-2006); Legg Mason Masten (1987); Legg Mason Wood Walker (1981-1987); and Shearson Loeb Rhoades (1981-1982). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 23, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 20, 1986; and Series 7 (General Securities Representative Examination), which he obtained on July 18, 1981. He is a registered broker and investment adviser with 15 US states and territories: California, the District of Columbia, Florida, Georgia, Illinois, Louisiana, Maryland, Michigan, New York, North Carolina, Pennsylvania, South Carolina, Texas, Utah, and Virginia. He is registered with three self-regulatory organization (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.

Michael LiebermanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser Michael Lieberman has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lieberman (CRD# 1416712).

Michael Lieberman has spent 31 years in the securities industry and has been registered with Morgan Stanley in Short Hills, New Jersey since 2013. Previous registrations include Wells Fargo Advisors in Florham Park, New Jersey (2007-2013); JB Hanauer & Company in Parsippany, New Jersey (2002-2007); RBC Dain Rauscher in New York, New York (2002); Tucker Anthony in Boston, Massachusetts (1999-2002); Gibraltar Securities in Florham Park, New Jersey (1997-1999); First Interregional Equity Corporation in Millburn, New Jersey (1996-1997); Smith Barney in New York, New York (1995-1996); Halpert & Company in Millburn, New Jersey (1988-1995); Philips Appel & Walden (1985-1987); and Broadchild Securities (1985). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 23, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 8, 1985; Series 3 (National Commodity Futures Examination), which he obtained on August 29, 1986; Series 7 (General Securities Representative Examination), which he obtained on September 21, 1985; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on April 6, 2009; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on March 2, 2009. He is a registered broker and investment adviser with 16 US states and territories: California, Delaware, the District of Columbia, Florida, Maine, Maryland, Massachusetts, Minnesota, Nevada, New Hampshire, New Jersey, New York, Pennsylvania, Tennessee, Texas, and Washington.

According to his BrokerCheck report, Michael Lieberman has received one pending customer complaint.

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 26, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser Susan Mamis is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Mamis (CRD# 718937).

Susan Mamis has spent 37 years in the securities industry and has been registered with Morgan Stanley in Morristown, New Jersey since 2009. Previous registrations include Morgan Stanley & Company in Morristown, New Jersey (2009) and Merrill Lynch in Warren, New Jersey (1980-2009). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on March 4, 1997; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on December 23, 1980; Series 31 (Futures Managed Funds Examination), which she obtained on May 29, 2009; and Series 7 (General Securities Representative Examination), which she obtained on November 15, 1980. She is a registered broker and investment adviser with 31 US states and territories, and with four self-regulatory organizations: FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to her BrokerCheck report, she has received one pending customer complaints.

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 21, 2018 indicate that Oklahoma-based Morgan Stanley broker/adviser Gerard Armstrong, also known as Gerry Armstrong, is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Armstrong (CRD# 1340016).

Gerard Armstrong has spent 32 years in the securities industry and has been registered with Morgan Stanley in Oklahoma City, Oklahoma since 2009. Previous registrations include Morgan Stanley & Company in Lawton, Oklahoma (2007-2009); Morgan Stanley DW in Lawton, Oklahoma (1997-2007); Link Investment Services (1995-1997); and Stifel Nicolaus & Company in St. Louis, Missouri (1985-1995). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 8, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 15, 1985; Series 7 (General Securities Representative Examination), which he obtained on February 16, 1985; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on February 23, 1998; and Series 24 (General Securities Principal Examination), which he obtained on April 19, 1995. He is a registered broker and investment adviser with 32 US states and territories and with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

John GuzyPublicly 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.

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2018 indicate that New York-based Morgan Stanley broker/adviser Richard Juracka has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Juracka (CRD# 708735).

Richard Juracka has spent 37 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2009. Previous registrations include Morgan Stanley & Company in New York, New York (2007-2009) and Morgan Stanley DW in New York, New York (1980-2007). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 20, 1991; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 16, 1980; Series 3 (National Commodity Futures Examination), which he obtained on July 13, 1990; Series 7 (General Securities Representative Examination), which he obtained on May 17, 1980; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on February 26, 1987. He is a registered broker and investment adviser with 30 US states and territories and with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint and one denied customer complaint.

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that New Jersey-based Morgan Stanley broker/adviser Paul Lascelle has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lascelle (CRD# 2003206).

Paul Lascelle has spent 27 years in the securities industry and has been registered with Morgan Stanley in Flemington, New Jersey since 2011. Previous registrations include Wells Fargo Advisors in Flemington, New Jersey (2005-2011); Merrill Lynch in New York, New York (1996-2005); Constitution Capital Corporation in Westport, Connecticut (1995-1996); and PFS Investments in Duluth, Georgia (1990-1995). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 25, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 18, 1990; Series 31 (Futures Managed Funds Examination), which he obtained on September 26, 2008; Series 7 (General Securities Representative Examination), which he obtained on July 9, 1996; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 21, 1990; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on September 3, 1991. He is a registered broker and investment adviser with 18 US states and territories: California, Connecticut, Delaware, Florida, Hawaii, Maryland, Massachusetts, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia and Wisconsin. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one FINRA sanction, one pending customer complaint, and one closed customer complaint.

Joseph SternPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that California-based Morgan Stanley broker/adviser Joseph Stern III is involved in pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stern (CRD# 2994501).

Joseph Stern has spent 19 years in the securities industry and has been registered with Morgan Stanley in San Francisco, California since 2009. Previous registrations include Morgan Stanley & Company in San Francisco, California (2007-2009); UBS Financial Services in San Francisco, California (2000-2007); Salomon Smith Barney in New York, New York (1999-2000); Northwestern Mutual Investment Services in Milwaukee, Wisconsin (1998-1999); and Robert W. Baird & Company in Milwaukee, Wisconsin (1998-1999). He has passed four securities industry registrations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 26, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 7, 1998; Series 31 (Futures Managed Funds Examination), which he obtained on October 4, 1999; and Series 7 (General Securities Representative Examination), which he obtained on August 18, 1998. He is a registered broker and investment adviser with 26 US states and territories and four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received two pending customer complaints.

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