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Morgan Stanley Smith Barney

Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA

Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA 150 150 ER

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records  Gregory Sain ,  a broker  who was previously registered with Stifel Nicolaus and is now with Morgan…

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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 150 150 ER

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…

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Clinton Curtright-Morgan Stanley Broker- Discloses 6M Pending Customer Dispute-La Jolla, CA

Clinton Curtright-Morgan Stanley Broker- Discloses 6M Pending Customer Dispute-La Jolla, CA 150 150 ER

Clinton Curtright Investigation June 2023 – LaJolla, CA According to publicly available records  Clinton Curtright ,  a broker with Morgan Stanley,  discloses a $6,000,000 pending customer dispute  The Financial Industry Regulatory Authority…

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Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC

Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC 150 150 ER

Shawn Good Investigation June  2023-Wilmington, NC According to publicly available records Shawn Good a former broker who last worked for Morgan Stanley discloses a final regulatory matter resulting in a permanent…

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Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements–Seeking $425K Damages -Iselin, NJ

Stacy Goldsmith-Herbert J. Sims & Co. Broker-Subject of Customer Complaints Over Private Placements–Seeking $425K Damages -Iselin, NJ 150 150 ER

Stacy Mari Goldsmith Investigation April 2023– Iselin, NJ According to publicly available records Stacy Mari Goldsmith, a Herbert J. Sims & Co., Inc. broker discloses 3 pending customer disputes. The…

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Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY

Wade Theo Papas-Former National Securities Broker-Subject of Customer Complaints Involving REITs Seeking $286K- New York, NY 150 150 ER

Wade Theo Papas Investigation April 2023-New York, NY According to publicly available records Wade Theo Papas, a former National Securities Corporation broker discloses 2 pending customer disputes. The Financial Industry Regulatory…

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Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV

Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV 150 150 ER

Christopher Passero Investigation March 2023-Hurricane, WV According to publicly available records Christopher John Passero,  a Money Concepts Capital Corp. broker discloses a regulatory event, prior customer dispute and a pending…

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Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, TX

Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, TX 150 150 ER

Michael Witt Investigation February 20, 2023- Plano, TX The FINRA records of Michael Witt,  an Ameriprise Financial Services broker,  disclose 2 regulatory events and a termination. The Financial Industry Regulatory Authority (FINRA) is…

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Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX

Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX 150 150 ER

Doug McKelvey Investigation June  2023-Southlake, TX According to publicly available records Doug McKelvey,a former broker who last worked for Morgan Stanley,  discloses a final regulatory matter resulting in a permanent bar…

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