Pending complaints against UBS Financial Services broker and investment advisor Jose Cornide (CRD# 2785918) allege the Coral Gables, Florida-based representative...Read More
Rafael Gonzalez-Stawinski: Morgan Stanley Financial Advisor Has Eight Customer Complaints
Rafael Gonzalez-Stawinski, a financial advisor in Morgan Stanley’s Coral Gables office, has eight customer complaints on his regulatory record. Of the eight, two are currently pending: one dated August 14, 2017, alleging “unsuitability, overconcentration, breach of fiduciary duties, negligence, negligent supervision, failure to supervise, fraud, breach of contract, and violations of securities laws and rules (Puerto Rico closed-end funds and open ended funds)” and another dated April 5, 2016, alleging “Client alleges breach of fiduciary duty, negligence, fraud, failure to supervise and breach of contract (Puerto Rico municipal bonds and closed-end funds).” Both complaints are in the form of Financial Industry Regulatory Authority (FINRA) arbitrations.
In addition, Rafael Gonzalez-Stawinski has five customer complaints from 2014 on his record, and one complaint from 2012. The 2012 complaint was denied by the firm and no money was paid to the customer. The five complaints from 2014 were settled for a total of $687,500. It appears that several of those complaints related to Puerto Rico bonds.
Rafael Gonzalez-Stawinski has been a financial advisor with Morgan Stanley since April 2014. Prior to working with Morgan Stanley, he was employed with Santander Securities in Puerto Rico from September 2006 through April 2014. Prior to Santander, Rafael Gonzalez-Stawinski was employed with UBS Financial Services in Puerto Rico, dating back to 1992.
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