Morgan Stanley

  • Robert Rex, Esq.

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment
Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment 150 150 Robert Rex, Esq.

July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn  , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration, a prior final financial disclosure and a prior termination. The…

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  • Robert Rex, Esq.

Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge & Pending Customer Dispute
Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge & Pending Customer Dispute 150 150 Robert Rex, Esq.

New York According to FINRA records,  Ari M. Baum ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a termination from employment and a currently pending customer dispute The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ
Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ 150 150 Robert Rex, Esq.

Red 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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  • Robert Rex, Esq.

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer
Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer 150 150 Robert Rex, Esq.

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…

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  • Robert Rex, Esq.

Kirk J. Gill-Former Morgan Stanley Broker-Discloses Numerous Customer Complaints-Tucson, AZ
Kirk J. Gill-Former Morgan Stanley Broker-Discloses Numerous Customer Complaints-Tucson, AZ 150 150 Robert Rex, Esq.

UPDATE March 2017- FINRA records disclose that additional customer disputes against Kirk Gill have been made since our prior posting. There are now 6 pending and 7 final customer disputes naming Gill. In February…

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  • Robert Rex, Esq.

Rafael Santiago-Former COR Clearing Broker-Discloses $495,000 Customer Dispute Over Sale of VGTEL Stock
Rafael Santiago-Former COR Clearing Broker-Discloses $495,000 Customer Dispute Over Sale of VGTEL Stock 150 150 Robert Rex, Esq.

UPDATE AUGUST 2016-FINRA records disclose that a customer of COR Clearing has filed FINRA arbitration 16-2100 alleging damages of $778,119 for recommending worthless securities and fraud. UPDATE JULY 2016-FINRA records…

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  • Robert Rex, Esq.

Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL
Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL 150 150 Robert Rex, Esq.

March 22, 2016- Tampa, FL A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley and two of its broker to pay $34 million to the estate of Roy M.…

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  • Robert Rex, Esq.

Delray Beach, FL. Man Pleads Guilty to Insider Trading on Tip From Stockbroker
Delray Beach, FL. Man Pleads Guilty to Insider Trading on Tip From Stockbroker 150 150 Robert Rex, Esq.

March 9, 2016- Jay Fung, 42, of Delray Beach, FL, pleaded guilty to an information which charged him with conspiracy to commit securities fraud . Fung admitted to an insider…

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  • Robert Rex, Esq.

Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account
Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account 150 150 Robert Rex, Esq.

December 8, 2015-Boston, MA A FINRA arbitration panel ordered Morgan Stanley and broker Justin Amaral to pay  a 92 year old widow over $1 million for churning her account. The victim…

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