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Morgan Stanley

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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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 ER

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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Jeffrey Leach-Morgan Stanley & Co. Broker- Discloses Regulatory Event and a Settled Customer Dispute-Naples, FL
Jeffrey Leach-Morgan Stanley & Co. Broker- Discloses Regulatory Event and a Settled Customer Dispute-Naples, FL 150 150 Rex Securities Law

July 2023-Naples, FL According to publicly available records,  a Morgan Stanley & Co. (MSSB)  financial advisor Jeffrey H. Leach (The Leach Group),  discloses a regulatory event and a settled customer…

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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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Michael Ralby-Former Morgan Stanley Smith Barney Broker- Barred From Securities Industry- Boca Raton – FL
Michael Ralby-Former Morgan Stanley Smith Barney Broker- Barred From Securities Industry- Boca Raton – FL 150 150 Rex Securities Law

February 2020- Boca Raton, FL According to publicly available records  Michael B. Ralby (CRD#1301072), a stockbroker who formerly was registered with Morgan Stanley Smith Barney, disclose a regulatory event, 3…

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