Elder Abuse Complaint Against Former UBS Advisor Kevin Cook

An investor complaint against Morgan Stanley financial advisor Kevin Cook (CRD# 3159487) alleges that he committed elder abuse. Records provided by the Financial Industry Regulatory Authority show that Mr. Cook is a broker and an investment advisor based in Lafayette, Louisiana, and that he recently joined the firm from UBS Financial Services. 

The complaint against Mr. Cook is disclosed on his BrokerCheck report, a document maintained by FINRA that provides information about his history in the securities industry. Filed in October 2022, it alleges that while he was at UBS Financial Services, he committed elder abuse when a client’s assets “were taken without oversight.” The pending complaint alleges damages of $375,000.

Mr. Cook is not the only Morgan Stanley representative whose BrokerCheck report discloses recent investor complaints. Walnut Creek, California advisor Ron Phillips has a pending complaint alleging damages of $250,000, for instance. An August complaint alleging misrepresentation by Palo Alto advisor Linh Tran, meanwhile, was denied by the firm. The FINRA-maintained BrokerCheck report for Perrysburg, Ohio advisor Craig Thistlewaite discloses two pending complaints stemming from an options strategy: both allege unspecified damages. Over in Fort Lauderdale, Florida, advisor Josh Westerman received a complaint in May 2022 alleging that he recommended unsuitable structured products.

Financial Industry Regulatory Authority records show that Mr. Cook has spent 23 years as a broker. He has been based in Lafayette, Louisiana since 2011, where he was a representative of UBS Financial Services before joining Morgan Stanley in 2022. According to an AdvisorHub report published in September 2022, he joined he moved to Morgan Stanley with a team of several other advisors that had operated at UBS as The A&L Wealth Group, managing “north of $650 million in client assets.” Prior to his tenure at UBS, he was a representative of Edward Jones in Broussard, Louisiana  (Information current as of November 9, 2022.)

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