Category: Morgan Stanley

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), […]

Elizabeth Layne (CRD#: 4497721) is a dually registered Broker and Investment Advisor at Morgan Stanley in Atlanta, GA. Broker’s Background She entered the securities industry in 2002 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by […]

Christopher McCaffrey (CRD#: 2735236) is a dually registered Broker and Investment Advisor at Morgan Stanley in Napa, CA. Broker’s Background He entered the securities industry in 1996 and previously worked for Morgan Stanley & Co., Inc.; Morgan Stanley; Morgan Stanley DW, Inc.; and A.G. Edwards & Sons, Inc. Current And Past Allegations Of Conduct Leading […]

Michael J. Wagner (CRD#: 4465334) is a dually registered Broker and Investment Advisor at Morgan Stanley in Atlanta, GA. Broker’s Background He entered the securities industry in 2001 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released […]

Shawn Burke (CRD#: 2615449) is a dually registered Broker and Investment Advisor at Morgan Stanley in Perrysburg, OH. He entered the securities industry in 1995 and previously worked for Wells Fargo Clearing Services, LLC; A.G. Edwards & Sons, Inc; and Smith Barney Inc. According to publicly available records released by the Financial Industry Regulatory Authority […]

Henry Chia-How Chang (CRD#: 4049732) is a dually registered Broker and Investment Advisor at Laidlaw & Company (UK) Ltd. in Pasadena, CA. He entered the securities industry in 1999 and previously worked for Morgan Stanley; Citigroup Global Markets, Inc; Citicorp Investment Services; WM Financial Services, Inc.; Gateway Investment Services, Inc.; and Pruco Securities Corporation. According […]

Henry Chang (CRD#: 4049732) was a previously registered Investment Advisor at Morgan Stanley in Pasadena, CA. He entered the securities industry in 1999 and previously worked for Citigroup Global Markets, Inc.; Citicorp Investment Services; WM Financial Services, Inc.; Gateway Investment Services, Inc.; and Pruco Securities Corporation. According to publicly available records released by the Financial […]

Sumitro Pal was an Investment Advisor at Morgan Stanley in Bethesda, MD. He entered the securities industry in 2004 and previously worked for Morgan Stanley & Co., Inc., and Morgan Stanley DW, Inc. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2020, Sumitro Pal was the subject of […]

Broker and investment adviser Darryl Cohen (CRD#: 2786613) has been employed by member firm Morgan Stanley since 2015. According to publicly available information released by the Financial Industry Regulatory Authority (FINRA), on November 18, 2020, a customer dispute was made against Darryl Cohen for allegedly misappropriating funds from the client’s account. A total of $480,000.00 […]

Albert Dishner (CRD #1912362) is a Financial Advisor at Morgan Stanley in New York, NY. Albert Dishner has been in the securities industry since 1990 and previously worked at Credit Suisse Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 17, 2020, Albert Dishner was sanctioned by FINRA, […]