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Gianluca De Berardinis: New Complaint Against Morgan Stanley Advisor
New York City financial advisor Gianluca De Berardinis (CRD# 4893776) is involved in an investor complaint alleging he provided misleading information. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, whose website indicates that he is a member of the De Berardinis Group.
Mr. De Berardinis’ BrokerCheck report discloses one investor complaint. Filed in December 2022, it alleges that as a representative of Morgan Stanley, he misrepresented the risk of principal loss associated with an investment in a structured product. The pending complaint alleges unspecified damages.
For reference, FINRA rules prohibit brokers like Mr. De Berardinis from misrepresenting material facts concerning the investments or investment strategies they recommend to their claimants. FINRA Rule 2020 specifically stipulates that no broker shall “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” Securities industry rules and standards prohibit both fraudulent misrepresentation, or intentional provision of misleading information, as well as negligent misrepresentation, or the careless provision of misleading information. Investors who suffer losses on investments that they made as the result of misrepresentations may be able to bring a claim against their broker.
According to the Financial Industry Regulatory Authority, Gianluca De Berardinis holds 10 years of securities industry experience. Based in New York City, he has been a broker and an investment advisor with Morgan Stanley since 2014. He was previously registered with Quad Capital in New York City from 2012 until 2013. His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is currently licensed in Alabama, California, Connecticut, Delaware, Florida, Georgia, Maine, Massachusetts, New Jersey, New York, North Carolina, Texas, and Wyoming. (Information current as of February 1, 2023.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.