Category: Morgan Stanley

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 […]

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 […]

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 […]