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Expert Review

Richard Zinman: Is He Sued by SEC? The Truth Exposed! (Update 2024)


Who is Richard Zinman (CRD#: 1212093)?Everything you need to know about Richard Zinman and their accolades

At Morgan Stanley Private Wealth Management, Richard Zinman serves as managing director and private wealth adviser. His New York City-based staff looks after assets under custody worth $3.8 billion.

After a brief spell at a family firm following college, Zinman entered the sector. He subsequently entered the financial services industry as a result of his interest in economics, political science, and global connections.

Beginning in 1983, Richard Zinman worked on Wall Street. He spent the last 37 years working his way up to the position of managing director at Morgan Stanley, where he is responsible for his team’s allocation of assets models, manager search and selection procedure, evaluation of performance, tax, trust, and estate planning strategies, risk management, investment options, and philanthropic advisory services.

Richard Zinman formerly worked with Dean Witter Reynolds, Smith Barney, Oppenheimer, Citigroup, Credit Suisse, and Credit Suisse before joining Morgan Stacey. Additionally, he participates in civic and charitable endeavors.


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.

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.

What do you mean by Remedial Services? 

The psychiatric disorder must impair a person’s ability to function in relationships and interactions with others in the family or community. Remedial Services help individuals learn age-appropriate ways and skills to manage their behavior and regain self-control.

20/12/2023 Update
As of now, Richard Zinman 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.

Richard Zinman Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, and litigation against Richard Zinman

The disclosure of client grievances and arbitrations, regulatory actions, job terminations, bankruptcy filings, and criminal or civil legal procedures is a requirement for all people registered to offer securities or give investment advice.

Following is a description of the sort of disclosure event involved:

  • The customer alleges that while equity transactions in his portfolio were described in detail, bond Transactions in his portfolio were described in detail, and bond transactions that resulted in the loss weren’t described beforehand.
  • An unsuitable investment advice allegation and related claims were made by the claimant in the original statement of claim. The implied out-of-pocket loss came to about $10 Million. The claimant submitted an amended statement of claim in which I was eliminated as a party.
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_1212093.pdf (

SEC Litigations & Forms

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Source: Richard Zinman – SEC Site Search Search Results


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

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


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

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

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


Better Alternatives To Richard Zinman (By Experts):Find the top 3 alternatives to Richard Zinman

These recommendations are based on the ratings of, the biggest financial advisor review platform on the internet.
Assets Managed
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Summit Rock Advisors
#1 Rated Investment Advisor
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Assets Managed
$19.9 Billion
0 Disciplinary Actions
1:2 advisor/client ratio
3 Conflict Laerts
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Fort Washington Investment Advisors
Best Customer Service In The Market
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Assets Managed
$52.42 Billion
Good advisor/client ratio
Highest Rated On Independent Platforms
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Assets Managed
$17.3 Billion
High overall rating
Several complaints on platforms
You can check out the top 10 financial advisors in the U.S. to learn more.

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