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Expert Review

Yash Dalal: Exposed with the Charges of SEC (Update 2024)


Who is Yash Dalal (CRD#: 3131666)?Everything you need to know about Yash Dalal and their accolades

Yash Dalal is a founding member of the Dalal Group and the Executive Director of Wealth Management at Morgan Stanley. Yash, a wealth management expert with more than 20 years of experience, has devoted his entire financial services career to gaining a comprehensive understanding and global perspective of the financial markets so he can inform his clients about their portfolios and assist them in creating all-encompassing financial plans.

He is dedicated to building lasting connections and works hard to provide unbiased counsel through superb “high touch” service. In order to assist customers reach their financial and personal goals, he pays close attention to their goals, values, and concerns.

The Dalal Group at Morgan Stanley offers a wide range of specialized solutions for high-net-worth individuals and families. By focusing on numerous facets of their clients’ financial life, they act as their clients’ “personal, chief financial officer.” Their ultimate objective is to produce a thorough roadmap that contributes to ensuring financial prosperity over several generations. Additionally, its team structure ensures continuity of counsel across the whole family life cycle of a client.


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.

21/11/2023 Update
As of now, Yash Dalal 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.

Yash Dalal Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, and litigation against Yash Dalal

Any person who is registered to offer securities or give investment advice must report any regulatory actions, job terminations, bankruptcy filings, criminal or civil legal procedures, as well as consumer complaints and arbitrations.

The following describes the sort of disclosure event involved:

  • The client claims in a satisfaction survey that her financial advisor made an inappropriate recommendation.
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: Yash Dalal – SEC Site Search Search Results


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

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


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

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

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


Better Alternatives To Yash Dalal (By Experts):Find the top 3 alternatives to Yash Dalal

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
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
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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