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Facing $14 Million Complaint, Morgan Stanley of Los Angeles Terminates Kerry M Moy over Inaccurate OBA Info

After Morgan Stanley of Los Angeles discharged Southern California broker Kerry M Moy based on allegations regarding Moy's submission of inaccurate information for business expenses, inaccurate and incomplete information about outside restaurant-related business activities, and his purported use of firm resources for those outside activities, he commenced employment with Western International Securities of Pasadena, CA.

Ex-Morgan Stanley Stockbroker Moy (CRD #1295255) also faces a pending customer dispute alleging misrepresentation with respect to investments from 2015 through 2018, during his time at the firm's Los Angeles branch. That dispute, civil litigation #18STCV02568 filed in Superior Court for the County of Los Angeles, alleges damages in the amount of $14 million, and concerns Monkee Restaurant, which was owned by The M2K Group, an outside business activity listed in Moy's BrokerCheck report.

According to AdvisorHub, Moy generated about $1 million of fees on $150 million of customer assets at Morgan Stanley.

In 2007, as a registered representative with, Merrill Lynch of Beverly Hills, Moy settled a customer dispute that alleged unsuitable investment recommendations and misrepresentations for $350,000.

Moy's file lists several outside business activities, including K Moy, LLC; The M2K Group, LLC; Singpoli BD Development, LLC; Surkus, Inc.; The Ritz Carlton HOA; and Troy Capital Partners.

The report indicates that K Moy, LLC invested in The M2K Group, Wokcano, Bunker Hill Bar & Grill, EMC Seafood, and Alameda Restaurant LLC, while The M2K Group is a "passive investor" of restaurant entities Monkee Restaurant Holding and Triple 8 Restaurant.

According to a profile of Ritz-Carlton residents, Moy is a "restauranteur and portfolio manager/financial advisor" who owns a dozen restaurants across Southern California.

If you have invested with former Morgan Stanley (LA) broker and present Western International Securities (Pasadena) investment adviser Kerry M Moy, or with any representative who has recommended unsuitable investments, misrepresented a securities product, or whose failure to disclose outside business activities or conflicts of interest has proven harmful to your investments or interests through excess fees or losses, please call our experienced FINRA arbitration attorneys at The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.