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 |
|---|---|---|---|---|---|---|---|---|
| Rosita Dy Kaufman | 1402522 | 2 | 06/07/1999 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Arnold Murray Peskin | 360889 | 6 | 06/04/1999 | Customer Dispute | Settled | $430,561.00 | $0.00 | See FINRA Report |
| James David Garrity | 2005714 | 1 | 06/03/1999 | Customer Dispute | Settled | $442,740.00 | $0.00 | See FINRA Report |
| Simon John Wheeldon | 2314676 | 2 | 06/02/1999 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Jody P Sacks | 1175493 | 1 | 06/01/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark John Jakubovie | 735372 | 5 | 05/28/1999 | Customer Dispute | Denied | $36,249.00 | $0.00 | See FINRA Report |
| Craig Roger McCune | 1399852 | 2 | 05/26/1999 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| James Patrick Dolan | 2466281 | 3 | 05/26/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond Keith Rondy | 1626177 | 1 | 05/26/1999 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| David M Simon | 1073980 | 1 | 05/25/1999 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |