Expert Review

Anthony Maddalena: Is He Sued by SEC? The Truth Exposed! (Latest Update 2023)

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Who is Anthony Maddalena (CRD#: 1833233)?Everything you need to know about Anthony Maddalena and their accolades

Anthony Maddalena works at Morgan Stanley as a managing director and wealth advisor in New York, New York. Anthony has previously worked as an investment advisor for AIG Financial Advisors. He graduated from Walnut High School and earned a Bachelor of Arts degree from San Diego State University and California State University.

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About FIRM:History, achievements, leadership, lawsuits, & disputes

About Morgan Stanley Wealth Management:

Morgan Stanley Wealth Management, an American multinational financial services corporation, specializes in retail brokerage and asset management. As a division of Morgan Stanley, it serves a wide range of clients, from individual investors and small-to-mid-sized businesses to large corporations, non-profit organizations, and family foundations. With a strong history and a proven track record, Morgan Stanley Wealth Management has become a leading choice for those seeking expert financial advice and guidance.

What is sec?

The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.

Early Beginnings: Smith Barney & Co.

Morgan Stanley Wealth Management has its roots in the 1938 merger of Charles D. Barney & Co. and Edward B. Smith & Co., which formed Smith Barney & Co. Charles D. Barney & Co., founded by Charles D. Barney in 1873, was a New York and Philadelphia-based firm that emerged from the failure of its predecessor, Jay Cooke & Company. Edward B. Smith & Co., founded in 1892, became a significant player in securities underwriting in 1934 after absorbing the professionals from the securities business of Guaranty Trust Company, following the passage of the Glass-Steagall Act.

Morgan Stanley Wealth Management offers a comprehensive suite of financial services to cater to the diverse needs of its clients. Some of these services include:

Investment Management

Morgan Stanley Wealth Management provides many investment options, including stocks, bonds, mutual funds, exchange-traded funds (ETFs), and more. Their financial advisors help clients develop tailored investment strategies to meet their specific financial goals and risk tolerance levels.

Financial Planning

Financial planning services offered by Morgan Stanley Wealth Management include retirement planning, education planning, estate planning, and more. Their financial advisors work with clients to understand their financial objectives and develop a comprehensive financial plan to help them achieve those goals.

Banking and Lending

Morgan Stanley Wealth Management offers banking and lending solutions, such as cash management accounts, mortgages, home equity loans, and lines of credit to help clients manage their day-to-day financial needs and achieve their long-term financial goals.

Insurance and Annuities

To help clients protect their financial future, Morgan Stanley Wealth Management offers insurance and annuity products, including life insurance, long-term care insurance, and annuities, designed to provide financial stability and peace of mind.

Philanthropy and Social Impact Investing

Morgan Stanley Wealth Management offers philanthropic advisory services and social impact investing options for clients who want to align their investments with their values and positively impact society.

13/12/2023 Update
As of now, Anthony Maddalena has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.
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Anthony Maddalena Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, and litigation against Anthony Maddalena

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.

FINRA’s BrokerCheck

individual_1833233.pdf (finra.org)

SEC Litigations & Forms

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Source: Anthony Maddalena – SEC Site Search Search Results

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Anthony Maddalena Lawsuits, Legal Battles, & DisputesActive database of all lawsuit documents (subject to availability) against Anthony Maddalena

Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, and Trellis. law, and Law360. If he has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against Anthony Maddalena which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Theresa Gorin on these websites, you can contact the local authorities and check if they have a physical copy of any cases.

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Anthony Maddalena Complaints, Class Action Lawsuits & Legal BattlesRead all class action lawsuits and SEC complaints against Anthony Maddalena

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Anthony Maddalena using the websites down below:

You can contact the law firms mentioned above if facing issues with Anthony Maddalena or any financial advisor.

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Better Alternatives To Anthony Maddalena (By Experts):Find the top 3 alternatives to Anthony Maddalena

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
Assets Managed
Pros
Cons
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Summit Rock Advisors
#1 Rated Investment Advisor
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Assets Managed
$19.9 Billion
Pros
0 Disciplinary Actions
1:2 advisor/client ratio
Cons
3 Conflict Laerts
Top Recommendation
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Fort Washington Investment Advisors
Best Customer Service In The Market
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Assets Managed
$52.42 Billion
Pros
Good advisor/client ratio
Reputed
Cons
None
1625686851535
Fisher
Investments
Highest Rated On Independent Platforms
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Assets Managed
$17.3 Billion
Pros
Fee-only
High overall rating
Cons
Several complaints on platforms
You can check out the top 10 financial advisors in the U.S. to learn more.

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