August 2021 – Tampa, FL According to publicly available records , Clyde Anthony Jensen, a former broker with TD Private Client Wealth and Ameriprise disclose a pending regulatory event involving being named as…
read moreJuly 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…
read moreJuly 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…
read moreJuly 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…
read moreApril 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…
read moreNovember 2020- Tampa, FL According to publicly available records Stuart Henley (CRD#1368973), a former stockbroker who last worked for Harmony Asset Management, discloses a regulatory event, a final customer dispute…
read moreNovember 2019- New York, NY The FINRA records of Herbert “Elias” Hafen , a financial advisor previously employed by Morgan Stanley, disclose a prior regulatory event, a pending criminal matter, a…
read moreMarch 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…
read moreMarch 2019 – Danbury, CT According to publicly available records Robert Eugene Berg (CRD#1218879) , a stockbroker who is currently registered with Summit Brokerage Services, disclose 1 pending and 2 prior customer disputes.…
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