Feb 3, 2025

Laura Romano Formerly With Morgan Stanley & Co. LLC FIRED

DID LAURA N ROMANO CAUSE YOU INVESTMENT LOSSES? Laura Romano was fired from Morgan Stanley & Co. LLC on October 8, 2024, due to allegations regarding the taking of items from a self-service employee kiosk without payment. Laura Romano Employment History and Termination Laura N. Romano worked for one firm, Morgan Stanley & Co. LLC, where she was employed as a Registered Broker from July 2022 to November 2024. She has passed two general industry exams, the Securities Industry Essentials (SIE) Examination and the Investment Banking Registered Representative (Series 79) Examination but has no principal/supervisory or multi-state securities law exams. Romano’s employment with Morgan Stanley ended with a termination. Her role in the securities industry has been relatively brief, with her career beginning shortly after completing her education at Columbia University (2018–2022). Negative Disclosures Summary There is one disclosure on Ms. Romano’s record: Laura Romano Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Laura Romano is a red flag which should put all current and former customers of Laura Romano at Morgan Stanley & Co. LLC on alert to review carefully the activity and performance of their accounts and question whether Laura Romano engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley & Co. LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley & Co. LLC Due To Laura Romano  If you have questions about Morgan Stanley & Co. LLC and/or Laura Romano and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Jan 3, 2025

Brian Pfeifler of Morgan Stanley Reviews

DID BRIAN C PFEIFLER CAUSE YOU INVESTMENT LOSSES? Brian Pfeifler Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Brian Pfeifler Customer Complaints and Reviews Brian Pfeifler has two pending customer disputes disclosed on his FINRA record. Allegations Against Brian Pfeifler The allegations against Brian Pfeifler center on claims of unsuitable investment recommendations in alternative asset classes: Brian Pfeifler Red Flags & Your Rights As An Investor Of course, Brian Pfeifler did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brian Pfeifler at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Brian Pfeifler has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Brian Pfeifler If you have questions about Morgan Stanley and/or Brian Pfeifler and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Dec 14, 2024

Wendy Stocker Formerly With Morgan Stanley FIRED

DID WENDY STOCKER CAUSE YOU INVESTMENT LOSSES? Wendy Stocker Formerly With Morgan Stanley was terminated on September 1, 2024, following allegations related to altering and re-using a signed internal billing form. Wendy Stocker Employment History Negative Disclosures Wendy Stocker Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Wendy Stocker is a red flag which should put all current and former customers of Wendy Stocker at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Wendy Stocker engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Wendy Stocker If you have questions about Morgan Stanley and/or Wendy Stocker and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Dec 5, 2024

James Hill, III Formerly With Morgan Stanley FIRED

DID JAMES CHAPELLE HILL III CAUSE YOU INVESTMENT LOSSES? James Hill, III Formerly With Morgan Stanley was fired on September 23, 2024, following allegations of irregularities related to an adult child’s brokerage account James Hill III Employment History James C. Hill III has extensive experience in the securities industry, working with six firms since starting in 1990. His employment history reflects positions at reputable firms, including Morgan Stanley, BB&T Securities, and Scott & Stringfellow, LLC. Hill’s career trajectory demonstrates steady positions in Richmond, VA, primarily within financial advisory roles. He passed two general industry exams and two multi-state securities law exams, though he has not taken any principal exams. His recent roles include serving as a financial advisor at Morgan Stanley from January 2017 until his termination in September 2024. Hill was terminated by Morgan Stanley in September 2024 due to alleged irregularities concerning fund disbursement from a family member’s brokerage account. This allegation, related to accounting, may be important to consider if assessing the broker’s historical conduct. James Hill III Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of James Hill III is a red flag which should put all current  and former customers of James Hill III at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether James Hill III engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To James Hill III If you have questions about Morgan Stanley and/or James Hill III and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Nov 3, 2024

Jason Head Formerly With Morgan Stanley Reviews

DID JASON BROOKS HEAD CAUSE YOU INVESTMENT LOSSES? Jason Head Customer Complaints and Reviews Jason Brooks Head has one pending disclosure related to a customer dispute. Customer Dispute 02/12/2024: A pending complaint involving a Morgan Stanley client who alleges unauthorized activity related to her liquidity access line. The dispute does not specify the damages sought, and no settlement has been reached as of now. Allegations Against Jason Head The pending customer dispute involves allegations from a Morgan Stanley client, who claims that activity related to her liquidity access line between 2021 and 2024 was unauthorized. The exact damages are unspecified, and the case remains pending as of the most recent filing date in February 2024. Jason Head Red Flags & Your Rights As An Investor Of course, Jason Head did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Jason Head at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Jason Head has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Jason Head If you have questions about Morgan Stanley and/or Jason Head and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Oct 30, 2024

Maury Lomax of Morgan Stanley Reviews

DID MAURY EDWARD LOMAX CAUSE YOU INVESTMENT LOSSES? Maury Lomax Of Morgan Stanley Has 2 Customer Complaints For Alleged Broker Misconduct Maury Lomax Customer Complaints and Reviews Maury Edward Lomax has two customer disputes disclosed in his record. Below is a summary of the incidents: Allegations Against Maury Lomax The key allegation against Maury Edward Lomax involves claims of misleading clients and executing unsuitable investment strategies. Maury Lomax Red Flags & Your Rights As An Investor Of course, Maury Lomax did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Maury Lomax at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Maury Lomax has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Maury Lomax If you have questions about Morgan Stanley and/or Maury Lomax and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Oct 8, 2024

William Shopoff of Shopoff Securities, Inc. Reviews

DID WILLIAM ANTHONY SHOPOFF CAUSE YOU INVESTMENT LOSSES? William Shopoff Of Shopoff Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct William Shopoff Customer Complaints and Reviews William A. Shopoff has had four disclosed customer disputes: Allegations Against William Shopoff William Shopoff Red Flags & Your Rights As An Investor Of course, William Shopoff did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Shopoff at Shopoff Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether William Shopoff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Shopoff Securities, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Shopoff Securities, Inc. Due To William Shopoff If you have questions about Shopoff Securities, Inc. and/or William Shopoff and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Sep 19, 2024

Roger Gallagher of Morgan Stanley FIRED

DID ROGER ALBERT TAFT GALLAGHER CAUSE YOU INVESTMENT LOSSES? Roger Gallagher Formerly With Morgan Stanley was terminated on August 9, 2024, due to allegations related to undisclosed financial arrangements Roger Gallagher Customer Complaints and Reviews Roger Albert Taft Gallagher is a former securities broker with a varied background in the industry. He worked for two firms during his career, the most notable being Morgan Stanley, where he was employed from December 2012 until September 2024. During his time in the industry, Gallagher passed two general industry/product exams, including the Securities Industry Essentials Examination in 2018 and the General Securities Representative Examination (Series 7) in 2012. Additionally, he passed one multi-state securities law exam, the Uniform Combined State Law Examination (Series 66) in 2013. Gallagher holds no supervisory or principal qualifications and has no current registrations. His career includes various business activities, such as involvement with investment-related and non-investment-related ventures. Notably, Gallagher was terminated from his last position at Morgan Stanley in August 2024 due to allegations related to undisclosed financial arrangements. Allegations Against Roger Gallagher Roger Gallagher has several disclosure events listed in his FINRA report. These include a pending criminal case involving charges of fictitious obligations and mail fraud, both filed in August 2024 in the United States District Court for the Southern District of Florida. Gallagher has pleaded not guilty to all charges. Additionally, there is one customer dispute filed in March 2021, alleging misrepresentation in the recommendation to sell shares, which was eventually denied and closed without any action. Lastly, Gallagher was discharged from Morgan Stanley in August 2024 due to allegations of involvement in undisclosed financial arrangements with a potential third-party service provider. There are no records of any monetary settlements or additional legal actions tied to these disclosures. Roger Gallagher Red Flags & Your Rights As An Investor Of course, Roger Gallagher did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers coupled with the recent termination are red flags which should put all current and former customers of Roger Gallagher at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Roger Gallagher has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Roger Gallagher If you have questions about Morgan Stanley and/or Roger Gallagher and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Sep 12, 2024

Carmine DeMaio of Morgan Stanley FIRED

DID CARMINE A DEMAIO CAUSE YOU INVESTMENT LOSSES? Carmine DeMaio Formerly With Morgan Stanley was terminated on August 2, 2024 for allegations regarding the accuracy of call notes entered into the Firm’s Customer Relationship Management (CRM) system that did not fully reflect the call. Carmine DeMaio Employment History Jamie Nowakowski has five customer disputes disclosed in her BrokerCheck record: Carmine DeMaio Red Flags & Your Rights As An Investor Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Carmine DeMaio is a red flag which should put all current and former customers of Carmine DeMaio at Morgan Stanley and E’Trade Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Carmine DeMaio engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Carmine DeMaio If you have questions about Morgan Stanley and/or Carmine DeMaio and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading

Sep 10, 2024

Trevor Fried of Morgan Stanley Reviews

DID TREVOR ALEXANDER FRIED CAUSE YOU INVESTMENT LOSSES? Trevor Fried Customer Complaints and Reviews Trevor A. Fried’s BrokerCheck report lists one pending customer dispute: Allegations Against Trevor Fried Trevor Fried Red Flags & Your Rights As An Investor Of course, Trevor Fried did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Trevor Fried at Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Trevor Fried has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Morgan Stanley also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. Did You Lose Money Because of Broker Misconduct? If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses. Need Legal Help? Let’s talk. or, give us a ring at 561-338-0037. File A Claim To Recover Your Investment Losses At Morgan Stanley Due To Trevor Fried If you have questions about Morgan Stanley and/or Trevor Fried and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Continue Reading