![]() Because of this, the customer seeks compensatory relief of an undisclosed amount. Apparently, this lack of supervision took place from 2007 through 2017 in connection with the customer’s managed account. Allegedly, the customer claimed that James Willer or Morgan Stanley Smith Barney failed to supervise the customer’s account. According to James Willer’s FINRA BrokerCheck Report, a customer filed a complaint about him on March 16, 2018. Apparently, James Willer joined the firm’s Des Moines, Iowa offices on June 1, 2009. James Francis Willer (CRD#: 467367, Des Moines, Iowa) is a general securities representative of Morgan Stanley. Morgan Stanley Brings Complaint Concerning James Willer, Failure To Supervise Baird and Northwestern Mutual Investment Services, LLC. Formerly, Anthony Mampieri worked at Robert W. However, the firm did not admit to being liable for Anthony Mampieri’s trading practices. Because of this, Morgan Stanley settled the Arbitration by paying the customer $110,000. Supposedly, those structured product transactions were not suitable for the customer. ![]() Allegedly, from 2011 to 2016, Anthony Mampieri unreasonably invested the customer’s assets in structured products. Supposedly, on October 13, 2016, a customer of Morgan Stanley brought a customer dispute in regard to Anthony Mampieri’s sales practices. I nvestors Complain About Morgan Stanley Brokers Anthony Mampieri, James Willer, Thomas Srachta, Trent AhlersĪnthony Ralph Mampieri (CRD#: 1653703, Boca Raton, Florida) is a Morgan Stanley Smith Barney securities representative.
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