April 2021- New York, NY According to publicly available records David W. Fenning (CRD#1005307), a stockbroker who works for Morgan Stanley Smith Barney discloses 4 settled customer disputes and 1…
read moreNovember 2020- Tampa, FL According to publicly available records Stuart Henley (CRD#1368973), a former stockbroker who last worked for Harmony Asset Management, discloses a regulatory event, a final customer dispute…
read moreNovember 2019- New York, NY The FINRA records of Herbert “Elias” Hafen , a financial advisor previously employed by Morgan Stanley, disclose a prior regulatory event, a pending criminal matter, a…
read moreMarch 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…
read moreMarch 2019 – Danbury, CT According to publicly available records Robert Eugene Berg (CRD#1218879) , a stockbroker who is currently registered with Summit Brokerage Services, disclose 1 pending and 2 prior customer disputes.…
read moreJanuary 2019, Austin, TX According to publicly available records Matthew T. Streif, a stockbroker registered with UBS Financial Services , discloses a customer dispute that was resolved by a cash settlement…
read moreFebruary 2020- Boca Raton, FL According to publicly available records Michael B. Ralby (CRD#1301072), a stockbroker who formerly was registered with Morgan Stanley Smith Barney, disclose a regulatory event, 3…
read moreJanuary 2020 – Miami, FL According to publicly available records Thomas Alan Meier (CRD#1146044) , a former stockbroker who was last registered with Morgan Stanley, disclose a Regulatory Event and 14 prior customer disputes.…
read moreJanuary 2020 – Aventura, FL The FINRA records of Matthew Singer, a broker previously employed by Morgan Stanley Smith Barney disclose 3 prior customer disputes and a regulatory event. The Financial Industry Regulatory…
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