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Recent Posts in Morgan Stanley Category

46 results found. Viewing page 1 of 2. Go to page 1 2   Next

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 ...
Continue reading "Facing $14 Million Complaint, Morgan Stanley of Los Angeles Terminates Kerry M Moy over Inaccurate OBA Info" »

Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading

FINRA sanctioned former Morgan Stanley and LPL Financial broker Ron Ray Willoughby aka Ronald Willoughby, presently with Kestra Investment Services in Venice, California, for engaging in short-term ...
Continue reading "Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading" »

Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California

With 14 customer disputes and millions paid in settlements since 2015 surrounding allegations of unsuitable recommendations, unauthorized trading, overconcentration, abuse of margin, fraud, elder ...
Continue reading "Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California" »

Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers

FINRA fined and suspended John-Aaron Lenhert, formerly of Morgan Stanley in Laguna Niguel, California, for borrowing funds from multiple customers without approval and for related misrepresentations, ...
Continue reading "Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers" »

Ex-Morgan Stanley Rep Arthur Robert Meunier-Breitman Sanctioned for Tezos Crypto-Blockchain Violations, Illicit Solicitations, and Using Assumed Name

Having listed cryptocurrency in its 2018 Regulatory and Examination Priorities Letter, FINRA sanctioned broker Arthur Robert Meunier-Breitman, formerly of Morgan Stanley, for violations related to ...
Continue reading "Ex-Morgan Stanley Rep Arthur Robert Meunier-Breitman Sanctioned for Tezos Crypto-Blockchain Violations, Illicit Solicitations, and Using Assumed Name" »

Lisa Piazza Fined & Suspended for Failure to Disclose Criminal Conviction

FINRA fined and suspended former Morgan Stanley (Roseville, CA) broker and supervisor Lisa C. Piazza aka Lisa C. Adamo or Lisa C. Rogers for willfully failing to disclose a burglary charge and ...
Continue reading "Lisa Piazza Fined & Suspended for Failure to Disclose Criminal Conviction" »

Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley

FINRA fined and suspended Kevin Chiagan Yang, formerly of Morgan Stanley's Pasadena, CA branch, for exercising discretion without written authorization. The disciplinary action follows several ...
Continue reading "Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley" »

Darrell Rideaux Barred During Investigation into Selling Away Allegations

FINRA barred Southern California broker Darrell Walter Rideaux following an investigation into allegations that he solicited private placement investments away from Morgan Stanley, his firm at the ...
Continue reading "Darrell Rideaux Barred During Investigation into Selling Away Allegations" »

Charles Dixon Barred After Termination from Morgan Stanley for Unauthorized Trading

FINRA barred former Morgan Stanley broker Charles Albert Dixon after he refused to cooperate with an investigation into his termination from the firm based on allegations that he employed discretion ...
Continue reading "Charles Dixon Barred After Termination from Morgan Stanley for Unauthorized Trading" »

Punished by California Bureau of Real Estate, Guillermo Valladolid Barred for Undisclosed Outside Business Activity

FINRA barred former Morgan Stanley broker Guillermo William Valladolid after he refused to provide requested information to investigators as they were investigating allegations that he improperly sold ...
Continue reading "Punished by California Bureau of Real Estate, Guillermo Valladolid Barred for Undisclosed Outside Business Activity" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Seadrill Limited (NYSE: SDRL) Runs Aground with Debt Restructuring Fiasco

Touted by investment firms such as Wells Fargo and Morgan Stanley to their clients, Seadrill Limited (ticker symbol SDRL) reached its lowest price in 2017 after warning shareholders and bond owners of ...
Continue reading "Seadrill Limited (NYSE: SDRL) Runs Aground with Debt Restructuring Fiasco" »

Ex-Morgan Stanley Rep Timothy T Gibbons Suspended, to Pay $737,000 for Unsuitable Oil & Gas Over-Concentration in Elderly Accounts

FINRA suspended former Morgan Stanley broker Timothy Thomas Gibbons for unsuitable investment recommendations to five elderly and retired clients in their 70s, 80s, and 90s after Gibbons purportedly ...
Continue reading "Ex-Morgan Stanley Rep Timothy T Gibbons Suspended, to Pay $737,000 for Unsuitable Oil & Gas Over-Concentration in Elderly Accounts" »

Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly

The oil-and-gas Master Limited Partnership (MLP) Linn Energy (NASDAQ: LINE) plunged its investors further into financial peril with a 2016 Chapter 11 Bankruptcy filing, while a Bankruptcy Court this ...
Continue reading "Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly" »

SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints

A Securities Litigation & Consulting Group (SLCG) study ranked brokerage firms based on broker complaint history, finding that nearly one quarter of all brokers employed by Aegis Capital Corp and ...
Continue reading "SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints" »

Morgan Stanley Ordered to Pay Over $13 Million for Unit Investment Trust (UIT) Supervisory Failures

FINRA sanctioned Morgan Stanley Smith Barney and ordered the firm to pay over $13 million—$3.25 million in fines and an additional $9.78 million in restitution to over 3,000 customers—for ...
Continue reading "Morgan Stanley Ordered to Pay Over $13 Million for Unit Investment Trust (UIT) Supervisory Failures" »

Nancy Johnson Sanctioned for Repeated False Statements to Morgan Stanley in Fraudulent Wire Transfer to Imposter

Former Morgan Stanley broker Nancy L. Johnson allegedly provided the firm's Greenwood Village, Colorado branch with false information on multiple occasions, resulting in a wire transfer of $86,000 ...
Continue reading "Nancy Johnson Sanctioned for Repeated False Statements to Morgan Stanley in Fraudulent Wire Transfer to Imposter" »

FINRA Sanctions Elaine LaCerte for Unsuitable UIT Sales, Causing Unnecessary Sales Charges

Former Morgan Stanley broker Elaine Diones LaCerte (Helzer) of Colorado Springs, CO received a fine and suspension into 2018 for engaging in an "unsuitable pattern" of short-term trading of ...
Continue reading "FINRA Sanctions Elaine LaCerte for Unsuitable UIT Sales, Causing Unnecessary Sales Charges" »

Say Nie Sam Sanctioned for Falsifying Wire Transfer Forms

FINRA fined and suspended broker Say Nie Sam, formerly of Wells Fargo Clearing Services (San Mateo, CA) and Morgan Stanley (Menlo Park, CA) for falsifying five wire transfer forms by placing ...
Continue reading "Say Nie Sam Sanctioned for Falsifying Wire Transfer Forms" »

FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer

FINRA permanently barred Kim Dee Isaacson (Morgan Stanley of Salt Lake City and Ameriprise Financial of Midvale, Utah) from the securities industry after finding that Isaacson engaged in fraudulent ...
Continue reading "FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer" »

Jaime Aguilar Suspended for Unauthorized Loans from Customers

FINRA fined and suspended former Morgan Stanley (San Diego, CA) broker Jaime Hazael Aguilar for borrowing money from a firm customer in contravention of firm and industry rules, and falsely stating on ...
Continue reading "Jaime Aguilar Suspended for Unauthorized Loans from Customers" »

Richard Botkin Fined & Suspended for $245k of Unauthorized Movie-Related Investments

FINRA suspended ex-Morgan Stanley and current Stifel, Nicolaus & Company (both of Roseville, CA) broker Richard Simon Botkin and fined him $15,000 for engaging in unapproved private securities ...
Continue reading "Richard Botkin Fined & Suspended for $245k of Unauthorized Movie-Related Investments" »

Kim Dee Isaacson Charged with Fraudulent Misrepresentations, Unauthorized Transactions in Elderly Client's Account

FINRA charged former Morgan Stanley and present Ameriprise Financial broker Kim Dee Isaacson with making fraudulent misrepresentations and omissions of material facts to an elderly client regarding ...
Continue reading "Kim Dee Isaacson Charged with Fraudulent Misrepresentations, Unauthorized Transactions in Elderly Client's Account" »

Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades

FINRA barred former Morgan Stanley Smith Barney broker John Batista Bocchino for hiding $190 million in Venezuelan bond trades from the firm by directing the trades through several nominee accounts ...
Continue reading "Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades" »

Ex-MLB Pitcher & Morgan Stanley Rep Patrick Combs Suspended for Selling Away

FINRA suspended former Morgan Stanley representative, and one-time pitcher for Major League Baseball's Philadelphia Phillies, Patrick Dennis Combs for eliciting a $500,000 investment in a ...
Continue reading "Ex-MLB Pitcher & Morgan Stanley Rep Patrick Combs Suspended for Selling Away" »
46 results found. Viewing page 1 of 2. Go to page 1 2   Next
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