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Category: Morgan Stanley

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SEC Sanctions Multiple Brokerage Firms Over Text Messaging And WhatsApp

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 & […]

Financial Advisor Jimmy Yang Driggers Disclosed Four Customer Complaints

Jimmy Yang Driggers (CRD#: 1359593) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1985 and previously worked for Morgan Stanley & Co.; UBS Financial Services, Inc.; Prudential Securities, Inc.; Everen Securities, Inc.; Cozad Investment Services, Inc.; Escalator Securities, Inc.; Investacorp, Inc.; and J.W. Grant & […]

Financial Advisor Doug McKelvey Barred by FINRA

Doug McKelvey (CRD#: 4502849) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 2002 and previously worked for Morgan Stanley; Citigroup Global Markets, Inc.; UBS Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the […]

Financial Advisor Robert C. David Suspended by FINRA

Robert C. David (CRD#: 5211223) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2006 and previously worked for Morgan Stanley; and Citigroup Global Markets, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority […]

Financial Advisor Dana Timchenko Has Pending Customer Complaint Regarding Options

Dana Timchenko (CRD#: 5540891) is a dually registered Broker and Investment Advisor at Morgan Stanley in Cornelius, NC. Broker’s Background She entered the securities industry in 2008 and previously worked for UBS Financial Services, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry […]

Financial Advisor Evan Savarick Has Disclosed Two Customer Complaints

Evan Savarick (CRD#: 5153903) is a dually registered Broker and Investment Advisor at Morgan Stanley in Plantation, FL. Broker’s Background He entered the securities industry in 2013. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April 2022, a customer […]

Selling Away Complaint Pending Against Morgan Stanley Financial Advisor Stephen Takeda

Stephen Takeda (CRD: 1100052) is a dually registered Broker and Investment Advisor at Morgan Stanley in Irvine, CA. Broker’s Background He entered the securities industry in 1983 and previously worked for Citigroup Global Markets, Inc.; Lehman Brothers, Inc.; and Dean Witter Reynolds, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to […]

Morgan Stanley Financial Advisor Anthony Gallea Disclosed Three Customer Complaints

Anthony Gallea (CRD#: 713980) is a dually registered Broker and Investment Advisor at Morgan Stanley in Hendersonville, NC. Broker’s Background He entered the securities industry in 1980 and previously worked for Citigroup Global Markets, Inc.; and Lehman Brothers, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

SEC Alleges Former Morgan Stanley Investment Advisor Shawn Good Involved In Ponzi Scheme

Shawn Good (CRD#: 2022168) is a previously registered Broker and previously registered Investment Advisor. Broker’s Background He entered the securities industry in 1990 and previously worked for Morgan Stanley; Wells Fargo Advisors, LLC; and Charles Schwab & Co, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss In April 2022, United States Securities […]

Former Morgan Stanley Financial Advisor Robert David Fined & Suspended by FINRA

Robert David (CRD#: 5211223) is an Investment Advisor and previously registered Broker. Broker’s Background He entered the securities industry in 2006 and previously worked for Morgan Stanley; and Citigroup Global Markets, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]