Nov 7, 2025

Dominari Securities — Kyle Michael Wool — Under Investigation For Alleged Unauthorized Trading, Unsuitability, and IPO Allocation Issues

Our firm is investigating Dominari Securities broker and investment advisor Kyle Michael Wool (CRD# 4238101) of New York, New York for potential investment-related misconduct. Financial Advisor’s Career History Mr. Wool is currently registered with Dominari Securities LLC (since April 18, 2023) in New York, NY. Previously, he was registered with Revere Securities LLC (Jan 2021–Apr 2023), Morgan Stanley (May/Jun 2013–Feb 2021, including Morgan Stanley Private Bank roles), Oppenheimer & Co. Inc. (Mar 2005–May 2013), Raymond James Financial Services, Inc. (Jun 2003–Apr 2005), Sands Brothers & Co., Ltd. (Apr 2002–Nov 2003), Global Capital Securities Corporation (Jan 2001–Mar 2002), and Global Capital Markets, LLC (Jul 2000–Jan 2001).

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Feb 3, 2025

Laura Romano Formerly With Morgan Stanley & Co. LLC FIRED

Laura Romano (CRD #7361436) , located in New York, New York, who was formerly registered as a broker with Morgan Stanley & Co. LLC and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. 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).

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Dec 14, 2024

Wendy Stocker Formerly With Morgan Stanley FIRED

Wendy Stocker (CRD #2127664) who was formerly registered as a broker with Morgan Stanley and located in Indianapolis, Indiana, is a subject of one of our many securities industry sales practice abuse investigations. • Wendy Stocker has over 25 years of experience in the securities industry, having worked for prominent firms such as Morgan Stanley, Merrill Lynch, and UBS Financial Services. Before Morgan Stanley, she held long-term positions at Merrill Lynch (2010–2018) and UBS Financial Services (1996–2010). These experiences highlight her extensive history in financial services • Ms. Stocker passed two general industry exams and two multi-state securities law exams, including Series 7 and Series 66. Stocker’s career includes roles as a financial advisor and client associate. • She was terminated by Morgan Stanley on September 1, 2024, due to policy violations involving the handling of internal and client information, allegedly altering and reusing internal billing forms and transmitting firm information through personal email.

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Dec 5, 2024

James Hill, III Formerly With Morgan Stanley FIRED

James Hill, III (CRD #1926479) who was formerly registered as a broker with Morgan Stanley and located in Richmond, Virginia, is a subject of one of our many securities industry sales practice abuse investigations. 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.

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Nov 3, 2024

Jason Head Formerly With Morgan Stanley Reviews

Jason Head (CRD #4920135) , located in Tuscaloosa, Alabama, has over 15 years of experience in the financial services industry. He has worked for several firms, including Morgan Stanley (08/2019 – 01/2024), BBVA Securities Inc. (05/2013 – 08/2019), and BBVA Compass Investment Solutions, Inc. (04/2011 – 05/2013). He is no longer registered as a broker but has passed 3 general industry/product exams and 2 state securities law exams. His qualifications include the Series 7 General Securities Representative Examination, the Series 6 Investment Company Products/Variable Contracts Representative Examination, the Series 63 Uniform Securities Agent State Law Examination, and the Series 65 Uniform Investment Adviser Law Examination.

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Oct 30, 2024

Maury Lomax of Morgan Stanley Reviews

Maury Lomax (CRD #4389255) , located in Mobile, Alabama, has been registered in the securities industry since 2001. He is currently employed by Morgan Stanley (CRD# 149777) and has been registered with this firm since June 1, 2009. Throughout his career, Lomax has worked with several firms, including Citigroup Global Markets Inc. and Morgan Stanley & Co. Incorporated. Lomax has passed three general industry/product exams, including the Series 7 and Series 66 exams, but has not passed any principal or supervisory exams. He is currently registered with 4 self-regulatory organizations (SROs) and holds licenses in 25 U.S. states and territories, enabling him to conduct business across a broad geographic area.

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Oct 8, 2024

William Shopoff of Shopoff Securities, Inc. Reviews

William Shopoff (CRD #1273471) , located in Irvine, California, is currently employed by Shopoff Securities, Inc., since May 2007. He is registered with 24 U.S. states and territories and has passed two principal/supervisory exams, four general industry/product exams, and one multi-state securities law exam. His diverse experience in the financial industry is highlighted by his extensive involvement in various investment sectors, particularly real estate and corporate securities. William has held positions at several firms over his career, including his own firms under different names, reflecting a longstanding presence and entrepreneurial role in the investment landscape.

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Sep 19, 2024

Roger Gallagher of Morgan Stanley FIRED

Roger Gallagher (CRD #5513745) who was formerly registered as a broker with Morgan Stanley and located in Purchase, New York, is a subject of one of our many securities industry sales practice abuse investigations. 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.

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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 833-300-6983. 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.

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Sep 10, 2024

Trevor Fried of Morgan Stanley Reviews

Trevor Fried (CRD #5709772) , located in Fort Lauderdale, Florida, is an established broker affiliated with Morgan Stanley, since November 2009. Fried is registered with four self-regulatory organizations and is licensed across all 50 U.S. states and territories. He has passed two general industry/product exams and one multi-state securities law exam, namely the Securities Industry Essentials Examination, General Securities Representative Examination, and Uniform Combined State Law Examination. His registration details confirm a wide-reaching license to practice, but there is no detailed employment history available prior to his current position.

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