Category: Morgan Stanley

Eric Brian Kleiner (CRD#: 4135180) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2000 and worked with Prudential Securities Incorporated; Wells Fargo Advisors, LLC; and Morgan Stanley. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released by the Financial Industry […]

Sean P. Righter (CRD#: 5419832) is a registered investment advisor with One Capital Management, LLC in Newport Beach, CA. Broker’s History He entered the securities industry in 2007 and previously worked with Citigroup Global Markers Inc., and Morgan Stanley. Current and Past Allegations of Conduct Leading to Investment Loss According to publicly available records released […]

Yilun Liu (Tom Liu) (CRD#: 6834194) is a registered broker and investment advisor with Morgan Stanley in Irvine, CA. Broker’s History He entered the securities industry in 2017 and previously worked with Wells Fargo Clearing Services, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in May […]

Craig Sherman Thistlethwaite (CRD#: 2507050) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1995 and previously worked with IDS Life Insurance Company; American Express Financial Advisors Inc.; Dean Witter Reynolds Inc.; McDonald Investments, Inc.; Citigroup Global Markets, Inc.; and Morgan Stanley. Current and Past Allegations of Conduct […]

Investors entrust their financial advisors with their savings and future aspirations, with the goal of achieving diverse financial objectives such as their children’s education and financial freedom, comfortable retirement, and wealth management. But in some cases, financial advisors have been known to take advantage of their clients and make off with their accounts and potential […]

James Eric Monken (CRD#:5765921) is a registered broker and investment advisor at Morgan Stanley in Clayton, MO. Broker’s Background He entered the securities industry in 2010 and previously worked for Morgan Keegan & Company, Inc. Current and Past Allegations Leading to Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority […]

Jimmy Driggers (CRD#: 1359593) is a previously Registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1985 and previously worked for Morgan Stanley; Morgan Stanley & Co. Incorporated; UBS Financial Services Inc.; Prudential Securities Incorporated; Everen Securities, Inc.; Cozad Investment Services, Inc; Escalator Securities, Inc.(FINRA expelled the firm on 12/31/1997); Investacorp, […]

Lawrence William Catena (CRD#: 2037155) is a Registered Broker and Investment Advisor at Morgan Stanley in Naples, FL. Broker’s Background He entered the securities industry in 1990 and previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated; and McLaughlin, Piven, Vogel Securities. Current and Past Allegations of Conduct Leading to Investment Loss According to […]

Ron Filoramo (CRD#: 3270398) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1999 and previously worked for Morgan Stanley; Wells Fargo Advisors, LLC; UBS Financial Services, Inc.; Ladenburg Capital Management, Inc.; and Ladenburg, Thalmann & Co., Inc. Current And Past Allegations Of Conduct Leading To […]

Miche Jean (CRD#: 5918186) is a previously registered Broker and Investment Adviser. Broker’s Background He entered the securities industry in 2015 and previously worked for Morgan Stanley. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2023, there is […]