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Morgan Stanley

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX 150 150 Rex Securities Law

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…

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Jim Driggers- Former Morgan Stanley Broker-Discloses Prior Customer Dispute and $4.2M in Pending Customer Disputes-Sarasota, FL

Jim Driggers- Former Morgan Stanley Broker-Discloses Prior Customer Dispute and $4.2M in Pending Customer Disputes-Sarasota, FL 150 150 ER

Jim 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…

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Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ

Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ 150 150 Rex Securities Law

Francisco 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…

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Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI

Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI 150 150 ER

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,…

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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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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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William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX

William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX 150 150 Rex Securities Law

William (Billy) Busch Investigation December 2021 – Austin, TX According to publicly available records  William (Billy) D. Busch , a stockbroker who was previously registered with Morgan Stanley & Co. discloses  the…

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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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