Close
Skip to Content
High Contrast
Increase Text Size
Clear All
Toll Free
888-527-3427
Local
818-760-9880
Home
Meet The Attorneys
Jonathan W. Evans
Michael S. Edmiston
Firm Overview
In The News
On Social Media
Securities
Northstar Financial (Bermuda)
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
NOP Myth
P&L
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Affinity Fraud
Breach of Contract
Fraud
Failure to Conduct Due Diligence
Failure to Disclose Facts and Risks
Failure to Execute Trades
Misrepresentation/Omission
Overconcentration
Selling Away
Account Churning
Ponzi Schemes
Scams Involving High Yield CDs
Stockbroker Fraud
Transferring Your Investment Account
Theft/Conversion
Unauthorized Trading
Unsuitable Securities
Securities Fraud
Signs of Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Breach of Fi-Du
Negligence
State Securities Laws
Suitability
Products
Annuities
Bonds
Limited Partnerships
Mutual Funds
Options
Principal Protected Notes
Private Placements
Promissory Notes
REITs
Reverse Convertibles
Stocks
Structured Products
TICs
UITs
Frequently Asked Questions
Attorney Referrals
Video Center
Testimonials
Recoveries Obtained
Site Search
Contact Us
Local Office
818-760-9880
Top
Morgan Stanley
Featured
Year
Select a Date
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Clear All
February 24, 2023
Beverly Hills Broker Antoine Souma Barred After Failing to Cooperate with FINRA Investigation
October 20, 2021
Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
January 25, 2019
Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
June 06, 2019
Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading
October 11, 2018
Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers
May 13, 2022
Ex-Morgan Stanley Broker Nikolay Zotenko Cited for Improperly Marketing Private Placements
February 10, 2022
Morgan Stanley Broker Darryl Cohen, Broker to Pro Athletes, Barred After Millions in Claims
November 23, 2021
JP Morgan Advisors' Antoine Souma Suspended for Incorrect and Misleading Reports to Customer
October 19, 2021
Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages
April 30, 2021
Antoine Nabih Souma Under Investigation After JP Morgan Pays $14 Million to Settle Dispute
October 03, 2020
SEC Fines Morgan Stanley $5 Million Over Short Sale Violations in Swaps Business
July 29, 2020
Fired Morgan Stanley Broker Stephen Sloane Under Investigation for Unsuitable Recommendations in Quickly Trading Long-Term Investments
June 09, 2020
CFP Board Disciplines California's Joel Davidman for Unauthorized Discretion, Alaska's Michael Shamburger and Rob Wedel for Multi-Million Dollar Misconduct
April 08, 2020
Clare Cail Suspended for Altering Signed Account Documents, Submitting Falsified Form
December 21, 2019
Francisco Valenzuela Cited for Failing to Disclose Lien
December 05, 2019
Eugene Gordon Cited for Allowing Wife's Unauthorized Withdrawals From Morgan Stanley Client's Account
October 31, 2019
Ami Forte & Charles Lawrence Barred for Churning Dementia-Laden Elderly Client's Account
July 31, 2019
Eric Nichols Suspended for Settling Customer Complaint Away from Morgan Stanley
April 30, 2018
Ex-Morgan Stanley Rep Arthur Robert Meunier-Breitman Sanctioned for Tezos Crypto-Blockchain Violations, Illicit Solicitations, and Using Assumed Name
March 27, 2018
Lisa Piazza Fined & Suspended for Failure to Disclose Criminal Conviction
March 15, 2018
Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley
February 22, 2018
Darrell Rideaux Barred During Investigation into Selling Away Allegations
January 25, 2018
Charles Dixon Barred After Termination from Morgan Stanley for Unauthorized Trading
January 16, 2018
Punished by California Bureau of Real Estate, Guillermo Valladolid Barred for Undisclosed Outside Business Activity
December 27, 2017
NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
November 27, 2017
Seadrill Limited (NYSE: SDRL) Runs Aground with Debt Restructuring Fiasco
November 22, 2017
Ex-Morgan Stanley Rep Timothy T Gibbons Suspended, to Pay $737,000 for Unsuitable Oil & Gas Over-Concentration in Elderly Accounts
November 21, 2017
Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly
October 25, 2017
SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
September 25, 2017
Morgan Stanley Ordered to Pay Over $13 Million for Unit Investment Trust (UIT) Supervisory Failures
September 11, 2017
Nancy Johnson Sanctioned for Repeated False Statements to Morgan Stanley in Fraudulent Wire Transfer to Imposter
September 01, 2017
FINRA Sanctions Elaine LaCerte for Unsuitable UIT Sales, Causing Unnecessary Sales Charges
August 23, 2017
Say Nie Sam Sanctioned for Falsifying Wire Transfer Forms
July 28, 2017
FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer
July 07, 2017
Jaime Aguilar Suspended for Unauthorized Loans from Customers
July 03, 2017
Richard Botkin Fined & Suspended for $245k of Unauthorized Movie-Related Investments
June 12, 2017
Kim Dee Isaacson Charged with Fraudulent Misrepresentations, Unauthorized Transactions in Elderly Client's Account
June 01, 2017
Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades
March 07, 2017
Ex-MLB Pitcher & Morgan Stanley Rep Patrick Combs Suspended for Selling Away
February 14, 2017
Morgan Stanley to Pay $8 Million Penalty in Unsuitable Single Inverse ETF Sales, Customer Losses
September 30, 2016
Alejandra Valenzuela Barred for Improper Conversion at Morgan Stanley
September 12, 2016
Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration
August 23, 2016
$150 Million Lawsuit Against Morgan Stanley Alleges Excessive 401(k) Retirement Plan Fees, Self-Dealing
August 22, 2016
Morgan Stanley to Pay $4.7 Million for Failure to Supervise Broker's Unauthorized Trading, Settlement to Include Dimes-on-the-Dollar Payment to Burned Clients
June 13, 2016
FINRA Fines Morgan Stanley $80,000 for Supervisory Failures, Deletion of 21k OTC Options Positions
April 15, 2016
Greg Taylor Accused of Unethical Conduct Involving 75-Year-Old Widow with Dementia, False Statement to Firm
August 11, 2015
Gehrin Michael Ortiz Barred After Investigation into Material Disclosure Violations and Omissions
July 20, 2015
FINRA Bars John Anthony Waszolek for Improperly Appointing Himself Successor Trustee for Diminished Capacity Elder, Attempting to Inherit $1.8 Million
July 13, 2015
Jeffrey David Daggett Fined & Suspended for Unsuitable ETN, Non-Traditional ETF Recommendations
June 23, 2015
Morgan Stanley & Scottrade Fined $950,000 for Failing to Detect Third-Party Wire Transfers due to Inadequate Supervisory Systems
May 15, 2015
Morgan Stanley Fined $2 Million for Short Sale & Interest Reporting Violations
February 02, 2015
Shawn Michael Richardson Censured and Fined for Exercising Discretion Without Permission
November 07, 2014
Kent George Lehman Barred for Improperly Borrowing From Customers, Failure to Cooperate
May 07, 2014
Morgan Stanley Fined $5 Million for Supervisory Failures Related to Initial Public Offering Sales
April 11, 2014
Magnolia Gaerlan Fined & Suspended for Effecting Unauthorized Wire Transfers
February 17, 2014
Patrick Joseph Donohue Barred for Prohibited Business Activities with Elderly Clients, False Statements & Unauthorized Wire Transfers
January 20, 2014
Lisa Ann Timmerman Fined & Suspended for Writing Checks in Accounts with Insufficient Funds
October 09, 2013
Managed Futures Fund Fees: A Hidden Money Drain for a Sneaky Security
July 31, 2013
New Jersey Fines Morgan Stanley $100,000 for Improper ETF Sales to Investors
