Tony Gallea & Helen Rothlein: Morgan Stanley Advisors Face $429K Claim

Morgan Stanley financial advisors Tony Gallea (CRD# 713980) and Helen Rothlein (CRD# 709040) recently received an investor complaint alleging that their conduct resulted in six-figure damages. Financial Industry Regulatory Authority records show that Mr. Gallea is based in Hendersonville, North Carolina and Palm Coast, Florida, while Ms. Rothlein is based in New York City and Boca Raton, Florida.

Both Mr. Gallea’s BrokerCheck report and Ms. Rothlein’s disclose the same investor complaint. Filed in March 2025, it alleges that as representatives of Morgan Stanley, they recommended unsuitable covered options trades between 2019 and 2023. The pending investor complaint alleges damages of $429,000.

Morgan Stanley’s website includes a profile of Mr. Gallea that describes him as a founder of the Pelican Bay Group, a practice within the firm. “Tony and his colleagues oversee the investment management of over $4 billion for individual and institutional clients, as of December 31, 2022,” it explains. “This includes $2.5 billion in covered call writing strategies, also for individual and institutional clients.”

Meanwhile, a profile of Ms. Rothlein describes her as a co-founder of The Compass Group, another practice within the firm. “Helen is a consultant to institutional, individual, and retirement accounts,” it explains. “She takes great pride when clients can benefit from her life planning approach, including the implications of various investment strategies relative to estate planning.”

According to the Financial Industry Regulatory Authority, Tony Gallea holds 44 years of securities industry experience. Based in Hendersonville, North Carolina and Palm Coast, Florida, he has been registered as a broker and an investment advisor with Morgan Stanley since 2009. His past registrations include Citigroup Global Markets and Lehman Brothers. Ms. Rothlein, meanwhile, holds 44 years of securities industry experience. Based in New York City and Boca Raton, she has been registered with Morgan Stanley since 2009. (Information current as of April 12, 2025.)

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