Matias Cavalieri: $2.9mm complaint Against Morgan Stanley Advisor

Miami financial advisor Matias Cavalieri (CRD# 2972465) has received an investor complaint alleging his conduct resulted in damages exceeding $2 million. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, and that he received another investor complaint in 2020.

Mr. Cavalieri’s BrokerCheck report discloses two investor complaints. The most recent, filed in August 2023, alleges that as a representative of Morgan Stanley, he breached his fiduciary duty to a customer in 2014 and 2015. (For reference, the fiduciary standard requires financial advisors to put their clients’ interests before their own, make full disclosures regarding any conflicts of interest, and operate in good faith and with loyalty to the client; this is similar to but distinct from the suitability standard that applies to brokers.) The pending complaint alleges damages of $2,900,000.

An earlier investor complaint, filed in 2020, alleged that as a Morgan Stanley representative, he recommended an unsuitable mutual fund purchase. The complaint reached a settlement of $14,644.08.

According to the Financial Industry Regulatory Authority, Matias Cavalieri holds 25 years of securities industry experience. Based in Miami, Florida, he has been a broker and an investment advisor with Morgan Stanley since 2009. His past registrations include Citigroup Global Markets (Miami, Florida; 1998-2009) and Prudential Securities (New York, New York; 1998). His credentials include the passage of five securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He holds 39 state licenses. (Information current as of September 4, 2023.)

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