- May 18, 2022
- Morgan Stanley
Anthony Gallea (CRD#: 713980) is a dually registered Broker and Investment Advisor at Morgan Stanley in Hendersonville, NC.
He entered the securities industry in 1980 and previously worked for Citigroup Global Markets, Inc.; and Lehman Brothers, Inc.
Current And Past Allegations Of Conduct Leading To Investment Loss
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January 2022, a customer dispute that was filed against Anthony Gallea was denied. The allegation states, “CLIENT ALLEGES, INTER ALIA, MISREPRESENTATION WITH RESPECT TO OPTION TRADING STRATEGY 2020-2021 DAMAGES UNSPECIFIED.”
In addition, Anthony Gallea has been the subject of two customer complaints, including the following:
- September 2021 — “CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO COVERED CALL OPTION STRATEGY 2020 – 2021.” Damages of $900,000 were sought. The customer dispute was denied.
- May 2021 — “CLIENT ALLEGED THAT THE TRANSACTIONS MADE IN HER ACCOUNT WERE NOT SUITABLE. 1998-2001. ALLEGED DAMAGES UNSPECIFIED.” The customer dispute was denied.
For a copy of Anthony Gallea’s FINRA BrokerCheck, click here.
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