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…
read moreMichael 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…
read moreDoug 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…
read moreDoug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX
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…
read moreJim 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…
read moreThomas 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…
read moreFrancisco 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…
read moreRobert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI
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,…
read moreDerek 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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