Category: Morgan Stanley

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 […]

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 […]

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 […]

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 & […]

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 & […]

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 […]

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 […]

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 […]

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 […]