Expert Review

Frank Seminara: Exposed with the Allegations of SEC


Who is Frank Seminara (CRD#: 2785718)?Everything you need to know about Frank Seminara and their accolades

Frank works for Morgan Stanley as the Global Sports and Entertainment Director and Managing Director-Private Wealth Advisor. High-net-worth individuals and small to medium-sized businesses alike can get financial guidance from Frank. He is among the Top 1200 Barron’s Financial Advisors in the State of New Jersey.

Frank works closely with Morgan Stanley Private Wealth Management and different outside resources within The Seminara Group at Morgan Stanley to develop unique asset allocation strategies. He was recently appointed as a Director of Alternative Investments based on his experience in Hedge Funds and Private Equity deals. His experience with professional players has led to his being promoted to Director within the Global Sports & Entertainment Division of the company. Frank played professional baseball for nine years before to beginning his career in financial services, including three seasons in the Major League with the San Diego Padres and the New York Mets.

Frank began his career in 1996 at Salomon Smith Barney before moving on to UBS in a comparable position. He was born in Brooklyn, graduated from Xaverian High School in 1985, and earned a BA in history from Columbia University in 1989.

He is a member of the Major League Baseball Alumni “Swing with the Legends” charitable golf tour and is actively involved in mentoring local kids’ sports. Along with reading, traveling, and spending time with friends and family, he also likes to travel.


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.

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 a wide range of 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.

What is a financial advisor?

A financial advisor is a specialist who offers professional financial advice to people looking to accomplish particular financial goals. You work with a financial advisor to develop a thorough financial plan that is specific to your situation, much like you would hire an architect to construct the blueprint for your home. Understanding your existing financial condition, including your income, costs, savings, and spending patterns, is a requirement for this collaboration.

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 make a positive impact on society.

21/11/2023 Update
As of now, Frank Seminara has not responded nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by their victims. Furthermore, he has only focused on propagating his fake PR.

Frank Seminara Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, litigation against Frank Seminara

To offer stocks or give financial advice, a person must be registered, and they must also declare any regulatory measures taken against them, employment terminations, bankruptcies filed, or criminal or civil legal activities they have been involved in.

The following list identifies the sort of disclosure event concerned:

  • The client’s attorney asserts, inter alia, that the hedge fund investment was misrepresented in 2021.
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

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SEC Litigations & Forms

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Source: Frank Seminara – SEC Site Search Search Results


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

Most court cases filed in the United States of America are archived on CourtListener, UniCourt,, Justia, and Trellis. law, and Law360. If Frank Seminara 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 Frank Seminara 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.


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

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

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


Better Alternatives To Frank Seminara (By Experts):Find the top 3 alternatives to Frank Seminara

These recommendations are based on the ratings of, the biggest financial advisor review platform on the internet.
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You can check out the top 10 financial advisors in the U.S. to learn more.

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