Nini Wu: Morgan Stanley Advisor Faces Investor Complaint

Kirkland, Washington financial advisor Nini Wu (CRD# 6572622) recently received an investor complaint alleging that her advice resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with Cetera.

Ms. Wu’s BrokerCheck report discloses one investor complaint. Filed in February 2026, it alleges that as a representative of Morgan Stanley, she misrepresented material facts regarding an alternative investment. The pending complaint alleges unspecified damages.

Investors should be aware that brokers like Ms. Wu are forbidden by securities industry rules and standard from misrepresenting material facts in connection with their investment recommendations. FINRA Rule 2020 specifically states that that no registered representative 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.” For reference, material facts are pieces of information that could be considered essential to an investor’s decision regarding a product or strategy—for instance, an investor’s risk level or its liquidity. Brokers who misrepresent investments may be liable in the event of losses and/or subject to disciplinary action.

According to the Financial Industry Regulatory Authority, Nini Wu holds 10 years of securities industry experience. Based in Kirkland, Washington, she has been registered as a broker and an investment advisor with Morgan Stanley since 2020. She was previously registered with Cetera Investment Services in Bellevue, Washington from 2015 until 2020. Her credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; and the General Securities Representative Examination, or Series 7. She holds 48 state licenses. (Information current as of March 22, 2026.)

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