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Category: Morgan Stanley

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SEC Bars Financial Advisor Jesus Rodriguez for Stealing from Account Holders

Jesus Rodriguez (CRD#:4888685) is a previously registered broker and investment advisor.   Broker’s Background He entered the securities industry in 2005, and previously worked with Merrill Lynch Pierce Fenner & Smith Inc.; Citigroup Global Markets Inc.; and Morgan Stanley.   Allegations of Misconduct According to publicly available records released by The Securities and Exchange Commission […]

Broker James Monken Subject of Two Customer Disputes

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 […]

Financial Advisor Jimmy Driggers is the Subject of a $4M Customer Dispute involving ‘Selling Away’

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, […]

Financial Advisor Lawrence Catena Discloses Two Customer Complaints

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 […]

Morgan Stanley Financial Adviser Ron Filoramo Discharged for Alleged Theft

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 […]

Financial Advisor Miche Jean Disclosed Two Month Suspension by FINRA

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 […]

Financial Advisor Chinyuan Chang Barred by FINRA For Alleged Theft

Chinyuan Chang (CRD#: 2922898) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1997 and previously worked for Morgan Stanley; Cetera Investment Services, LLC; Primevest Financial Services, Inc.; Sinopac Financial Services (USA) LTD.; PCI*Trade Securities; ASI Investments, Inc.; Milestone Financial Services, Inc.; and Bestrade, Inc. Current […]

Financial Advisor Luis Bonilla Has Six Disclosed Customer Complaints

Luis Bonilla (CRD#: 2643542) is a previously registered Broker and previously registered Investment Adviser. Broker’s Background He entered the securities industry in 1995 and previously worked for Morgan Stanley; Wells Fargo Advisors, LLC; First Union Brokerage Services, Inc.; and Bersec International Corporation. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly […]

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 & […]