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 Stewart Small | 1148738 | 4 | 06/26/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew David Penrod | 2834169 | 1 | 06/24/2019 | Customer Dispute | Settled | $34,301.00 | $0.00 | See FINRA Report |
| Michael Joseph Platte | 2785561 | 1 | 06/24/2019 | Customer Dispute | Settled | $34,301.00 | $0.00 | See FINRA Report |
| Drew Martin Reinhardt | 1457827 | 4 | 06/20/2019 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Herbert K Smith | 2914032 | 1 | 06/07/2019 | Customer Dispute | Denied | $67,935.00 | $0.00 | See FINRA Report |
| Rafael Alberto Gonzalez | 2096117 | 17 | 05/29/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert N Newman | 4237176 | 7 | 05/20/2019 | Customer Dispute | Denied | $89,400.00 | $0.00 | See FINRA Report |
| Ricardo Fontana Guimaraes | 5442981 | 2 | 05/09/2019 | Customer Dispute | Settled | $98,256.20 | $0.00 | See FINRA Report |
| David R Garcia | 2281514 | 23 | 04/25/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Paul Hart | 2313194 | 3 | 04/12/2019 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |