January 2020 – Miami, FL According to publicly available records Thomas Alan Meier (CRD#1146044) , a former stockbroker who was last registered with Morgan Stanley, disclose a Regulatory Event and 14 prior customer disputes.…
read moreJanuary 2020 – Aventura, FL The FINRA records of Matthew Singer, a broker previously employed by Morgan Stanley Smith Barney disclose 3 prior customer disputes and a regulatory event. The Financial Industry Regulatory…
read moreJune 2018- Plano, TX The FINRA records of Michael S. Christians , a stock broker who is not currently registered and who was last employed by Morgan Stanley , disclose a currently pending regulatory event,…
read moreJanuary 2020 -Palm Harbor, Florida The FINRA records of Charles Joseph Lawrence, a former stockbroker who was last employed by R. F. Lafferty & Co. disclose a final regulatory matter resulting…
read moreApril 2018-New York Arthur R. Meunier (a/k/a Robert Breitman, a/k/a Robert Meunier-Breitman) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) agreeing…
read moreTimothy T. Gibbons-Former Morgan Stanley Broker-Ordered to Pay Former Customers $749K-New Orleans,LA
November 2017-New Orleans, LA According to FINRA records, without admitting or denying the findings, Timothy T. Gibbons , a former Morgan Stanley broker, entered into an agreement with FINRA to resolve allegations that…
read moreDecember 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) , a stockbroker who is currently employed by Wells Fargo is the subject of a currently pending customer dispute. He discloses the settlement…
read moreMichael O’Connor-Former Morgan Stanley Broker-Agrees to Bar from Securities Industry-Pepper Pike, OH
September 2017 – Pepper Pike, OH According to publicly available records Michael J. O’Connor (CRD#5791343) , a former stockbroker who was most recently employed by Morgan Stanley , disclose a termination from employment and a…
read moreRed 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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