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Morgan Stanley investigation

Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA

Mark Payne- Morgan Stanley Broker- Subject of $15.5M Customer Suit Involving Option Trading-Roseville, CA 150 150 ER

Mark Payne Investigation May 2022- Roseville, CA According to publicly available records,  Mark Christopher Payne, a broker with Morgan Stanley discloses a recently filed a FINRA case in which the customer is…

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Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA

Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA 150 150 ER

Elizabeth Layne Investigation May 2022- Atlanta, GA According to publicly available records Elizabeth M. Layne (aka Elizabeth Muse Hearn & Elizabeth Anne Muse) a  broker with Morgan Stanley Smith Barney discloses a large…

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Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL

Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL 150 150 ER

Glenn E. Brandon Investigation May 2022- Birmingham, AL The FINRA records of  Glenn Edward Brandon,  a former broker who was last  employed by  BB&T Securities disclose a final regulatory matter resulting…

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Dawn Marie Collum- Ameriprise Broker- Discloses Customer Dispute -Kerrville, TX

Dawn Marie Collum- Ameriprise Broker- Discloses Customer Dispute -Kerrville, TX 150 150 Rex Securities Law

Dawn M. Collum Investigation February 2022- Kerrville, Texas According to publicly available records,  Dawn M. Collum , a broker with Ameriprise Financial in Kerrville, Texas,  discloses a  customer complaint. The Financial Industry…

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Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX

Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX 150 150 Rex Securities Law

Jesus Rodriguez Investigation December 2021- El Paso, TX According to publicly available records,  Jesus Rodriguez, a former broker who last worked for Morgan Stanley discloses 5 recent customer complaints alleging  misappropriation of…

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John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM

John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM 150 150 Rex Securities Law

John Rochester Investigation November 2021- Santa Fe, NM According to publicly available records,  John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000. The…

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Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM

Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM 150 150 Rex Securities Law

Timothy J. Prouty Investigation November 2021- Albuquerque, NM According to publicly available records,  Timothy J. Prouty, a broker previously employed with Morgan Stanley discloses a large arbitration award to a former customer…

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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 150 150 ER

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…

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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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