Articles Tagged with Morgan Stanley

Gerard Armstrong

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.

Richard Juracka

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.

Paul Lascelle

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.

Dean AbrahamPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that Nevada-based Morgan Stanley broker/adviser Dean Abraham has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Abraham (CRD# 850318).

Dean Abraham has spent 39 years in the securities industry and has been registered with Morgan Stanley in Las Vegas, Nevada since 2009. Previous registrations include Citigroup Global Markets in Los Vegas, Nevada (1999-2009); Dean Witter Reynolds in Purchase, New York (1981-1999); and Paine Webber Jackson & Curtis (1978-1981). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 9, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 20, 1979; Series 5 (Interest Rate Options Examination), which he obtained on February 6, 1982; and Series 7 (General Securities Representative Examination), which he obtained on March 18, 1978. He is a registered broker and investment adviser with 15 US states and territories: Alaska, Arizona, California, Colorado, Florida, Georgia, Maryland, Minnesota, Nevada, New York, North Carolina, Oregon, Texas, Utah, and Washington. 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 customer complaint, one pending customer complaint, and one denied customer complaint.

Patrick Walsh

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based Morgan Stanley broker/adviser Patrick Walsh has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Walsh (CRD# 458073).

Patrick Walsh has spent 49 years in the securities industry and has been registered with Morgan Stanley in Westlake Village, California since 2009. Previous registrations include Morgan Stanley & Company in Thousand Oaks, California; Morgan Stanley DW in Thousand Oaks, California; and Dean Witter & Company. He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); PC (AMEX Put and Call Exam); Series 1 (Registered Representative Examination); Series 4 (Registered Options Principal Examination); and Series 00 (General Securities Principal Examination). He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Colorado, Florida, Hawaii, Maryland, Nevada, New York, Oklahoma, Oregon, Tennessee, Texas and Washington.

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

Michael LombardiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2017 indicate that New York-based Morgan Stanley broker/adviser Michael Lombardi has received resolved or pending customer complaints. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lombardi (CRD# 2437234).

Michael Lombardi has spent 23 year sin the securities industry and has been registered with Morgan Stanley in New York, New York since March 2017. He was previously registered with Merrill Lynch in New York, New York (1994-2017). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination).. He is a registered broker and investment adviser with 21 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Indiana, Maryland, Massachusetts, Nevada, New Jersey, New York, North Carolina, Pennsylvania, Tennessee, Texas, Vermont, Virginia and Washington.

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

Christopher Butler

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 29, 2017 indicate that California-based Morgan Stanley broker/adviser Christopher Butler has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Butler (CRD# 1894450).

Christopher Butler has spent 28 years in the securities industry and has been registered with Morgan Stanley in Woodland Hills, California since 2010. Previous registrations include Prudential Securities in New York, New York; Dean Witter Reynolds in Purchase, New York; and Prudential Securities in New York, New York. He is a registered broker and investment adviser with 28 US states and territories.

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

Kevin Yang

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that former California-based Morgan Stanley broker/adviser Kevin Yang has received several customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Yang (CRD# 2834317).

Kevin Yang has spent 17 years in the securities industry and was most recently registered with Morgan Stanley in Pasadena, California (2010-2017). Previous registrations include Merrill Lynch Pierce Fenner & Smith in Pasadena, California (2004-2010); Morgan Stanley DW Incorporated in Purchase, New York (2003-2004); and Heartland Securities Corporation in Edison, New Jersey (1999-2000; 2001-2003). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received four customer complaints and was discharged from his former employer.

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