Articles Tagged with Morgan Stanley

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2018 indicate that former Illinois-based Morgan Stanley broker/adviser Rajesh Gupta, who has received a customer dispute, recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gupta (CRD# 2071729).

Rajesh Gupta has spent eleven years in the securities industry and was most recently registered with Morgan Stanley in Naperville, Illinois (2013-2017). Previous registrations include JP Morgan Securities in Naperville, Illinois (2008-2013) and Wachovia Securities in Naperville, Illinois (2005-2008). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 12, 2005; Series 7 (General Securities Representative Examination), which he obtained on September 7, 2005; and Series 3 (National Commodity Futures Examination), which he obtained on September 11, 1990. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and recently resigned from his former employer.

Sally WegerPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New York-based Morgan Stanley broker/adviser Sally Weger is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Weger (CRD# 2591057).

Sally Weger has spent 23 years in the securities industry and has been registered with Morgan Stanley in Palm Beach Gardens, Florida since 2011. She was previously registered with Merrill Lynch in Melville, New York (1995-2011). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on January 13, 2011; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on April 26, 1995; and Series 7 (General Securities Representative Examination), which she obtained on April 11, 1995. She is a registered broker and investment adviser with 14 US states and territories: California, Connecticut, Florida, Georgia, Illinois, Indiana, Michigan, New Jersey, North Carolina, Pennsylvania, Virginia, Washington, and Wyoming. She is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to her BrokerCheck report, she has received one customer complaint, one pending customer complaint, and two customer complaints that were closed.

Chip CarpenterPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 15, 2018 indicate that Louisiana-based Morgan Stanley broker/adviser Albert Carpenter, also known as Chip Carpenter, has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carpenter (CRD# 41219).

Albert Carpenter has spent 46 years in the securities industry and has been registered with Morgan Stanley in New Orleans, Louisiana since 2009. Previous registrations include Citigroup Global Markets in New Orleans, Louisiana (2006-2009); Legg Mason Wood Walker in Baltimore, Maryland (1995-2006); Painewebber in Weehawken, New Jersey (1980-1995); Paine Webber Jackson & Curtis (1973-1980); and Scharff & Jones (1971-1973). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 5, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 13, 1984; Series 15 (Foreign Currency Options Examination), which he obtained on March 26, 1987; Series 5 (Interest Rate Options Examination), which he obtained on September 26, 1985; PC (AMEX Put and Call Exam), which he obtained on September 2, 1977; Series 1 (Registered Representative Examination), which he obtained on August 3, 1971; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on September 19, 1984. He is a registered broker and investment adviser with 27 US states and territories.

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

Fuad HabbaPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former New York-based Morgan Stanley broker/adviser Fuad Habba 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. Habba (CRD# 4892638).

Fuad Habba has spent seven years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2016-2018). Previous registrations include Merrill Lynch in New York, New York (2013-2016); MetLife Securities in White Plains, New York (2008-2010); and Northwestern Mutual Investment Services in Westport, Connecticut (2007-2008). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 1, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 22, 2007; Series 7 (General Securities Representative Examination), which he obtained on January 24, 2013; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 23, 2007. He is currently not registered with any state or firm.

According to his BrokerCheck report, Fuad Habba was recently sanctioned by FINRA and resigned from his former employer in connection to alleged rule violations.

Aaron sheehy

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that former New York-based Morgan Stanley broker Aaron Sheehy was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sheehy (CRD# 1847401).

Aaron Sheehy has spent twenty-five years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2009-2018). Previous registrations include Citigroup Global Markets in New York, New York (1997-2009) and Salomon Brothers in New York, New York (1992-1998). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 23, 1992; Series 3 (National Commodity Futures Examination), which he obtained on July 9, 1993; Series 7 (General Securities Representative Examination), which he obtained on April 10, 1992; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on December 8, 1997; Series 24 (General Securities Principal Examination), which he obtained on July 9, 1997; and Series 4 (Registered Options Principal Examination), which he obtained on February 18, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and was recently discharged from his former employer in connection to alleged rule violations.

Steven Gilbert

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that former Florida-based Morgan Stanley broker/adviser Steven Gilbert has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gilbert (CRD# 1534253).

Steven Gilbert has spent 31 years in the securities industry and was most recently registered with Morgan Stanley in Boca Raton, Florida (2015-2018). Previous registrations include National Securities Corporation in Aventura, Florida (2013-2015); Prime Capital Services in Clearwater, Florida (1999-2013); Royal Alliance Associates in Jersey City, New Jersey (1992-1999); Linsco/Private Ledger Corporation in Boston, Massachusetts (1990-1992); Advest in Hartford, Connecticut (1987-1990); and the Ohio Company (1986-1987). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 18, 1986; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1986; and Series 24 (General Securities Principal Examination), which he obtained on November 5, 1993. He is currently not registered with any state or firm.

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

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.

Alan HessPublic 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 Lieberman

Publicly 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.

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