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 |
|---|---|---|---|---|---|---|---|---|
| Shane L Richardson | 4840327 | 7 | 08/25/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roy L Pfeffer | 6164697 | 1 | 08/24/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael John Wagner | 4465334 | 3 | 08/16/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Spencer Horowitz | 6905907 | 1 | 08/03/2021 | Customer Dispute | Denied | $7,800.00 | $0.00 | See FINRA Report |
| Joshua Matthew Eslick | 6859916 | 1 | 08/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Clarke Octigan | 350953 | 3 | 07/30/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Baird Neville | 732608 | 1 | 07/29/2021 | Customer Dispute | Denied | $600,000.00 | $0.00 | See FINRA Report |
| Sylvia Herman Gort | 4368715 | 1 | 07/29/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marc Israel Karetsky | 1155033 | 2 | 07/29/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Trevaughn M Williams | 7360576 | 1 | 07/28/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |