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Morgan Stanley

Kirk Gill Investigation-Former Morgan Stanley Broker-Settles Numerous Customer Suits-Tucson, AZ

Kirk Gill Investigation-Former Morgan Stanley Broker-Settles Numerous Customer Suits-Tucson, AZ 150 150 Rex Securities Law

April 2019-Tucson, AZ We recently filed an arbitration claim with FINRA on behalf of an Arizona couple who allege that Kirk Gill over concentrated their retirement accounts with energy stocks and made…

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Richard T. Lucker-Former Morgan Stanley Broker-Discloses $14M Customer Dispute-El Paso, TX

Richard T. Lucker-Former Morgan Stanley Broker-Discloses $14M Customer Dispute-El Paso, TX 150 150 Rex Securities Law

April 2017-El Paso, Texas The FINRA records of  Richard T. Lucker ,  a  stockbroker who is currently  employed by  Wells Fargo Clearing Services  disclose a pending dispute in which a customer seeks damages in excess of…

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Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits

Rick Davidson-Former Morgan Stanley Broker-Discloses Settlement of Customer Suits 150 150 Rex Securities Law

SEPTEMBER 2018 The FINRA records of  Rick A. Davidson,  a  stockbroker who is currently employed by  National Securities Corporation  disclose 5 prior customer disputes that that are final  and a separation from employment after allegations. The…

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Charles J. Lawrence-Former Morgan Stanley Broker-Barred From Industry For Exploitation of Elderly Customer

Charles J. Lawrence-Former Morgan Stanley Broker-Barred From Industry For Exploitation of Elderly Customer 150 150 Rex Securities Law

JANUARY 2020 UPDATE–Charles Lawrence barred from industry by FINRA for exploitation of elderly customer. See this for more information.  September 2016-Palm Harbor, Florida The FINRA records of  Charles J. Lawrence,  a  stockbroker who…

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Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing

Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing 150 150 Rex Securities Law

August  2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel ,  a  stock broker who is currently employed  by Oppenheimer & Co.  , disclose  five prior  customer disputes and and one financial event. The Financial Industry Regulatory…

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William H. Smathers-NEXT Financial Group Broker-Discloses Prior Customer Disputes

William H. Smathers-NEXT Financial Group Broker-Discloses Prior Customer Disputes 150 150 Rex Securities Law

August  2016-The Villages, Florida The FINRA records of William H. Smathers ,  a  stock broker who is currently employed by NEXT Financial Group , disclose 9 prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment 150 150 Rex Securities Law

July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn  , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration, a prior final financial disclosure and a prior termination. The…

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Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge & Pending Customer Dispute

Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge & Pending Customer Dispute 150 150 Rex Securities Law

New York According to FINRA records,  Ari M. Baum ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a termination from employment and a currently pending customer dispute The Financial Industry Regulatory Authority…

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Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ 150 150 Rex Securities Law

Red Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…

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