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Gianluca De Berardinis Voluntarily Resigned from Morgan Stanley

Gianluca De Berardinis (CRD #: 4893776) has voluntarily resigned from Morgan Stanley Wealth Management, according to her BrokerCheck record, accessed on August 4, 2023. Details regarding her resignation are provided below.

On June 23, 2023, Gianluca De Berardinis voluntarily resigned from Morgan Stanley Wealth Management following allegations that she was involved with offers or sales of a security not approved by the firm. The firm further alleged she made unapproved disbursements from a customer’s account. 

According to allegations filed on June 9, 2023, Gianluca De Berardinis withdrew funds from a customer account without her authorization. 

FINRA 3280

FINRA Rule 3280 requires brokers to seek approval from their firm before engaging in private securities transactions. Firms must approve of investments sold away from the firm to ensure they comply with securities rules and regulations. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized withdrawals violate FINRA rule 2010. 

Background Information

Gianluca De Berardinis has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

Gianluca De Berardinis has registered with the following firms: 

  • Morgan Stanley (CRD #: 149777)
  • Quad Capital (CRD #: 148927) 

Kurta Law Can Help

If you worked with Gianluca De Berardinis and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.

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