Tag: Morgan Stanley
Matthew Chimento Barred by FINRA
Matthew Chimento Allegedly Misappropriated Client Funds According to a letter of acceptance, the Financial Industry Regulatory Authority...
Broker Gary Chang Allegedly Misappropriated Customer Funds
Ex-Morgan Stanley Broker Gary Chang Barred by Securities Regulators According to a press release, Chingyuan “Gary” Chang, a...
Morgan Stanley: Overview of Complaints, Regulatory Actions
The White Law Group reviews the regulatory history of Morgan Stanley. Morgan Stanley Background Morgan Stanley...
Jesus Rodriguez Charged with Defrauding Advisory Clients
Ex-Morgan Stanley Advisor Allegedly Defrauded 10 Clients of $3.45 Million The Securities and Exchange Commission (SEC) has reportedly...
Douglas McKelvey Settles Fraud Charges
Douglas McKelvey Allegedly Stole $1.7 Million from Elderly Customers A settlement was reportedly reached on January 24, 2024, in the case...
Morgan Stanley Settles Block Trading Charges for $249 Million
SEC Charged Morgan Stanley and Exec with Multi-year Fraud On January 12, 2024, the Securities and Exchange Commission (SEC) filed...
