ER
August 25, 2021
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Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO

Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 25, 2021 August 25, 2021

August 2021- Greenwood Village, CO According to publicly available records, Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…

ER
August 18, 2021
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Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL

Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 18, 2021 August 18, 2021

August 2021 – Tampa, FL According to publicly available records , Clyde Anthony Jensen, a former broker with TD Private Client Wealth and Ameriprise disclose a pending regulatory event involving being named as…

Rex Securities Law
July 24, 2021
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Investigation of Former Morgan Stanley Broker Darryl Cohen-Misuse of Liquidity Access Line -Westlake Village, CA

Investigation of Former Morgan Stanley Broker Darryl Cohen-Misuse of Liquidity Access Line -Westlake Village, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 24, 2021 July 24, 2021

July 2021- Westlake Village, CA We are investigating former Morgan Stanley financial advisor Darryl M. Cohen, who was a part of The Cohen Group in the offices located in Westlake Village,…

ER
July 22, 2021
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Constantinos Maniatis- Former Morgan Stanley Advisor- Discloses A Regulatory Event and Termination- Dallas, TX

Constantinos Maniatis- Former Morgan Stanley Advisor- Discloses A Regulatory Event and Termination- Dallas, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 22, 2021 July 22, 2021

July 2021- Dallas, TX According to publicly available records, Constantinos G. Maniatis, a financial advisor previously with Morgan Stanley, discloses a regulatory event and a termination from employment. The Financial…

Rex Securities Law
July 5, 2021
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Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA

Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 5, 2021 July 5, 2021

July 2021-Los Angeles, CA According to publicly available records, Ralph A. Jackson, III (CRD#1569213), a broker currently employed with Morgan Stanley, discloses 4 prior customer disputes that were settled. The…

Rex Securities Law
April 23, 2021
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David Fenning-Morgan Stanley Broker-Discloses Settled 4 Customer Disputes and 1 Pending Customer Dispute-NY, NY

David Fenning-Morgan Stanley Broker-Discloses Settled 4 Customer Disputes and 1 Pending Customer Dispute-NY, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 23, 2021 April 23, 2021

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…

Rex Securities Law
November 3, 2020
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Stuart Henley-Former Morgan Stanley Broker- Discloses Regulatory Event,Customer Dispute Settled for $800K and a Termination-Tampa, FL

Stuart Henley-Former Morgan Stanley Broker- Discloses Regulatory Event,Customer Dispute Settled for $800K and a Termination-Tampa, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 3, 2020 November 3, 2020

November 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…

Rex Securities Law
November 11, 2019
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Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY

Herbert “Elias” Hafen-Former Morgan Stanley Broker-Pleads Guilty to Fraud- New York, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 11, 2019 November 11, 2019

November 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…

Rex Securities Law
March 12, 2019
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Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA.

Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA. https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 12, 2019 March 12, 2019

March 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…