Our Staff has compiled our research into a database of FINRA Broker Disclosures for Morgan Stanley. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| James Leroy Smalley | 2108757 | 3 | 07/03/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Vincent Keane | 2748584 | 3 | 07/03/2001 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Sergio Anthony Piccinich | 2302602 | 2 | 07/02/2001 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Clifford Avery Buell | 1098794 | 1 | 07/02/2001 | Customer Dispute | Denied | $8,354.00 | $0.00 | See FINRA Report |
| W Lawrence Oakley | 2042348 | 1 | 07/02/2001 | Customer Dispute | Withdrawn | $120,000.00 | $0.00 | See FINRA Report |
| Cathy Davies-Harmon | 1413747 | 3 | 06/29/2001 | Customer Dispute | Closed-No Action | $80,000.00 | $0.00 | See FINRA Report |
| Matthew M Wojcik | 2212286 | 1 | 06/29/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Allen Hickey | 2947030 | 5 | 06/26/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kenneth Henry Malloy | 1197795 | 2 | 06/26/2001 | Customer Dispute | Settled | $5,200.00 | $0.00 | See FINRA Report |
| Davida A Wilson | 1556642 | 1 | 06/25/2001 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |