• Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Thomas Morgan formerly with Morgan Stanley
Rex Securities Law Investment Fraud Attorney Investigates Thomas Morgan formerly with Morgan Stanley 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Dallas, Texas) Thomas Morgan Investigation Summary Here’s what you need to know about Dallas, TX, stockbroker Thomas Morgan: Name: Mr. Thomas J. Morgan, Jr. Current Employer:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Veronica Lopez-Lopez formerly with Morgan Stanley
Rex Securities Law Investment Fraud Attorney Investigates Veronica Lopez-Lopez formerly with Morgan Stanley 150 150 Robert Rex, Esq.

Last Updated: October 2023 (Miami, FL) Veronica Lopez-Lopez Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Veronica Lopez-Lopez: Name: Veronica Lopez-Lopez Current Employer: Insigneo Securities, Insigneo…

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  • ER

Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA
Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA 150 150 ER

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records  Gregory Sain ,  a broker  who was previously registered with Stifel Nicolaus and is now with Morgan…

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  • ER

Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ
Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ 150 150 ER

Ronald Diaz Investigation June 2023-Tuscon, AZ The FINRA records of Ronald Diaz ,  a former stock broker who was last employed in the industry by Morgan Stanley, disclose a regulatory matter resulting in…

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Clinton Curtright-Morgan Stanley Broker- Discloses 6M Pending Customer Dispute-La Jolla, CA
Clinton Curtright-Morgan Stanley Broker- Discloses 6M Pending Customer Dispute-La Jolla, CA 150 150 ER

Clinton Curtright Investigation June 2023 – LaJolla, CA According to publicly available records  Clinton Curtright ,  a broker with Morgan Stanley,  discloses a $6,000,000 pending customer dispute The Financial Industry Regulatory Authority…

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  • ER

Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC
Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC 150 150 ER

Shawn Good Investigation June  2023-Wilmington, NC According to publicly available records Shawn Good a former broker who last worked for Morgan Stanley discloses a final regulatory matter resulting in a permanent…

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Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV
Christopher Passero-Money Concepts Capital Broker-Discloses Prior Customer Disputes & Regulatory Issues-Hurricane, WV 150 150 ER

Christopher Passero Investigation March 2023-Hurricane, WV According to publicly available records Christopher John Passero,  a Money Concepts Capital Corp. broker discloses a regulatory event, prior customer dispute and a pending…

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Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, TX
Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, TX 150 150 ER

Michael Witt Investigation February 20, 2023- Plano, TX The FINRA records of Michael Witt,  an Ameriprise Financial Services broker,  disclose 2 regulatory events and a termination. The Financial Industry Regulatory Authority (FINRA) is…

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Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX
Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX 150 150 ER

Doug McKelvey Investigation June  2023-Southlake, TX According to publicly available records Doug McKelvey,a former broker who last worked for Morgan Stanley,  discloses a final regulatory matter resulting in a permanent bar…

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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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