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Morgan Stanley Smith Barney problem

Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry
Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry 150 150 Rex Securities Law

June 19, 2015 Justin Amaral  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

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Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers
Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers 150 150 Rex Securities Law

June 19, 2015 Morgan Stanley Smith Barney  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2009-November…

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Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s
Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s 150 150 Rex Securities Law

June 11, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No. 2012031181001 against Scottsdale, AZ, broker John Anthony Waszolek alleging that he attempted to have his 81 year old customer…

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