Henrique Lucena: Morgan Stanley Advisor Receives $1mm Complaint

A recent investor complaint against Coral Gables, Florida financial advisor Henrique Lucena (CRD# 5605196) alleges that his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Laidlaw & Company, having previously been registered with Morgan Stanley.

Mr. Lucena’s BrokerCheck report discloses two investor complaints. The most recent, filed in March 2025, alleges that as a representative of Laidlaw & company, he made unauthorized trades and recommended unsuitable investments, including options and stock products. The pending complaint alleges damages of $1 million. “The matter will be defended vigorously,” Mr. Lucena wrote in a statement included with the disclosure.

An earlier investor complaint, filed in 2020, alleged that as a representative of UBS Financial Services, he made misrepresentations and unauthorized trades. In 2021 the complaint reached a settlement of $350,000.

A third disclosure on his BrokerCheck report concerns a FINRA sanction against Mr. Lucena. Filed in 2021, the disclosure states that he “failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.” As a result, FINRA ordered him to pay a fine of $1,631.88 and issued him a temporary suspension from registering with any member firm in any capacity.

According to the Financial Industry Regulatory Authority, Henrique Lucena holds 16 years of securities industry experience. Based in Coral Gables, Florida, he has been registered as a broker and an investment advisor with Laidlaw & Company since 2020. His past registrations include Morgan Stanley, UBS Financial Services, and Itau Europa Securities. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Delaware, Florida, Mississippi, New York, Utah, and Wyoming. (Information current as of May 4, 2025.)

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.