Constantinos Maniatis

Constantinos Maniatis, a Dallas-based financial advisor formerly with Morgan Stanley and now operating through Corps Capital Advisors, should be aware of his troubling professional history marked by regulatory sanctions, unauthorized trading, and abrupt termination—red flags that raise significant doubts about his trustworthiness and ethical standards.

Regulatory Sanctions and Fine: In 2021, FINRA imposed a 30-day suspension and a $5,000 fine on Maniatis for serious violations, highlighting his blatant disregard for regulatory requirements and client protections in the securities industry.

Unauthorized Trading Violations: From 2018 to 2019, while at Morgan Stanley, Maniatis conducted 105 unauthorized discretionary trades in seven client accounts, including municipal securities, without proper permissions—breaching key rules like NASD Rule 2510(b), FINRA Rule 2010, and MSRB Rule G-17, and directly jeopardizing investor interests.

Allegations of Misrepresentation: Maniatis faced accusations tied to a 2014 customer complaint alleging he misrepresented an energy investment strategy, providing misleading assurances that obscured risks and potentially caused client harm through deceptive practices.

Abrupt Termination for Misconduct: Morgan Stanley fired Maniatis in May 2019 following allegations of diverting revenue from his assigned representative code and improperly handling non-discretionary accounts, underscoring a pattern of self-serving behavior over client fiduciary responsibilities.

Pattern of Client Disputes: The 2014 complaint accusing Maniatis of investment misrepresentations, though denied by the firm without settlement, contributes to ongoing concerns about repeated issues in his client interactions and advisory conduct.

Significant Risks for Potential Clients: Maniatis’s record of regulatory penalties, unauthorized actions, and firm dismissal signals substantial risks, including possible unsuitable recommendations, concealed losses, and overall threats to portfolio integrity for any clients entrusting him with their assets.

Conclusion

Maniatis’s professional track record is tainted by FINRA sanctions, unauthorized trading, termination for misconduct, and client allegations of misrepresentation. These repeated ethical and compliance failures reveal a disturbing pattern that could severely endanger investor capital and trust.