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Investment Misconduct Blog

Morgan Stanley

Former Morgan Stanley Broker Francis Ciabattoni has Pending Customer Dispute

Adam J. Marquardt July 31, 2018

FINRA public records show two disclosed customer disputes against former broker Francis John Ciabattoni.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Francis Ciabattoni has one settled customer dispute filed in February 1999 and one pending dispute filed in March 2018.  The settled claim alleged unsuitable investments and misrepresentations.  The

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Customers of Kevin Yang, Ex-Morgan Stanley Broker, May Have Options to Recover Losses

Adam J. Marquardt May 27, 2018

Kevin Yang’s customers may have options to recover losses suffered while investing with the former Morgan Stanley securities broker and investment advisor.  Yang has been the subject of recent regulatory sanctions and customer arbitration claims. On March 7, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) suspended and fined Yang after finding he placed unauthorized

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Matthew Singer, former Morgan Stanley Broker, Barred by FINRA for Alleged Failure to Cooperate with Investigation into Possible Unsuitable Options Trading

Adam J. Marquardt March 27, 2018

On March 27, 2018, FINRA announced it barred securities broker Matthew Singer from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Matthew Singer for declining to provide sworn testimony in

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