Don Meccia: Morgan Stanley Advisor Faces Trading Complaint

A recent investor complaint against Santa Fe financial advisor Don Meccia (CRD# 1433435) alleges that he made unauthorized transactions. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Morgan Stanley, having previously been registered with Merrill Lynch.

Mr. Meccia’s BrokerCheck report discloses one investor complaint. Filed in April 2024, it alleges that as a representative of Morgan Stanley, he executed unauthorized transactions, “including the sale of a call which got assigned and forced the sale of his shares of Broadcom stock.” The pending complaint alleges unspecified damages.

Morgan Stanley’s website includes a profile of Mr. Meccia that describes his background and work. “With 39 years in the financial services industry, Don Meccia works with high net worth individuals and retirement plans,” it states. “His focus provides red carpet service and uses in the box tools for out of the box thinking in fast moving economies and markets. Using his experience from 1999 to 2010 with some of the largest pension funds in the United States, he creates unique customized strategies to help clients pursue their long-term financial goals.”

According to the Financial Industry Regulatory Authority, Don Meccia holds 25 years of securities industry experience. Based in Santa Fe, New Mexico, he has been registered as a broker and an investment advisor with Morgan Stanley since 2016. His past registrations include Merrill Lynch (El Segundo, California; 2010-2016), William O’Neil & Company (Los Angeles, California; 2002-2010), O’Neil Securities (Boston, Massachusetts; 2001-2010), BNY ESI & Company (New York, New York; 2000-2001), and Drexel Burnham Lambert (1987-1987). His credentials include the passage of seven securities industry qualifying exams: the Interest Rate Options Examination, or Series 5; the National Commodity Futures Examination, or Series 3; the Foreign Currency Options Examination, or Series 15; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He holds 21 state licenses. (Information current as of June 9, 2024.)

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