Morgan Stanley Smith Barney complaint Archives

ER
June 23, 2023
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Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ

Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 23, 2023 June 23, 2023

Ronald Diaz Investigation June 2023-Tuscon, AZ The FINRA records of Ronald Diaz , a former stock broker who was last employed in the industry by Morgan Stanley, disclose a regulatory matter resulting in…

Rex Securities Law
September 23, 2022
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Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 23, 2022 September 23, 2022

Doug McKelvey Investigation September 2022-Southlake, TX According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley , discloses a recent regulatory matter, a prior…

ER
July 6, 2022
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Jim Driggers- Former Morgan Stanley Broker-Discloses Prior Customer Dispute and $4.2M in Pending Customer Disputes-Sarasota, FL

Jim Driggers- Former Morgan Stanley Broker-Discloses Prior Customer Dispute and $4.2M in Pending Customer Disputes-Sarasota, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 6, 2022 July 6, 2022

Jim Driggers Investigation July 2022-Sarasota, FL According to publicly available records Jimmy Yang Driggers a currently unregistered broker who was previously with Morgan Stanley , discloses a prior customer dispute…

ER
July 5, 2022
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Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA

Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

Thomas Murray Investigation July 2022-Pasadena, CA According to publicly available records Thomas Wilson Murray , a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority…

Rex Securities Law
June 8, 2022
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Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ

Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 8, 2022 June 8, 2022

Francisco Valenzuela Investigation June 2022- Phoenix, AZ According to FINRA records, Francisco J. Valenzuela , a former broker who previously worked for Morgan Stanley , discloses 2 regulatory events, 4 prior…

ER
May 9, 2022
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Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI

Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 9, 2022 May 9, 2022

Robert David Investigation May 2022- Farmington Hills, MI According to FINRA records, Robert C. David, Jr. , a broker who previously worked for Morgan Stanley , discloses a regulatory event,…

ER
May 9, 2022
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Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA

Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 9, 2022 May 9, 2022

Derek Johnson Investigation May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P. Morgan broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

ER
May 9, 2022
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Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA

Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 9, 2022 May 9, 2022

Mark Payne Investigation May 2022- Roseville, CA According to publicly available records, Mark Christopher Payne, a broker with Morgan Stanley discloses a recently filed a FINRA case in which the customer is…

Rex Securities Law
December 3, 2021
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Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX

Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 3, 2021 December 3, 2021

Jesus Rodriguez Investigation December 2021- El Paso, TX According to publicly available records, Jesus Rodriguez, a former broker who last worked for Morgan Stanley discloses 5 recent customer complaints alleging misappropriation of…