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Morgan Stanley

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 150 150 Rex Securities Law

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,…

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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 150 150 Eleeza Rex

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…

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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 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT

Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT 150 150 Rex Securities Law

March 2019 – Danbury, CT According to publicly available records  Robert Eugene Berg   (CRD#1218879) ,  a  stockbroker who is currently registered with Summit Brokerage Services,  disclose 1 pending and 2 prior customer disputes.…

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Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX

Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX 150 150 Rex Securities Law

January 2019, Austin, TX According to publicly available records  Matthew T. Streif, a stockbroker registered with UBS Financial Services , discloses a customer dispute that was resolved by a  cash settlement…

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