In September 2022, nine firms in total were found by the United States Securities and Exchange Commission (SEC) to be out of compliance with the federal agency’s recordkeeping and supervision regulations. These companies include: Barclays Capital, Inc. Citigroup Global Markets, Inc. BofA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman Sachs & […]

David Fenning (CRD # 1005307) is currently a registered Financial Advisor at Morgan Stanley in New York, NY. David Fenning has been in the securities industry since 1981 and previously worked at UBS Financial Services Inc. (2004-2019), Credit Suisse First Boston LLC (2004-2004), and Donaldson Lufkin & Jenrette Securities Corporation (1995-2003). According to publicly available […]