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Morgan Stanley

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 February 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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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 150 150 Rex Securities Law

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…

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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 150 150 ER

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…

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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 150 150 ER

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…

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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 150 150 Rex Securities Law

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…

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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 150 150 ER

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,…

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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 150 150 ER

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…

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