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 |
|---|---|---|---|---|---|---|---|---|
| Lawrence Jay Solomon | 1060442 | 6 | 03/15/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Andrew Weiss | 1915252 | 3 | 03/10/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Arnold Murray Peskin | 360889 | 6 | 03/05/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Judy W Lev | 1106636 | 5 | 03/04/1999 | Customer Dispute | Settled | $241,784.00 | $0.00 | See FINRA Report |
| Howard James Sacks | 1006139 | 2 | 03/03/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Kenneth Andrew Marcus | 1830810 | 4 | 03/03/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David A Pendleton | 869125 | 2 | 03/03/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Stearns Victor | 1335655 | 1 | 03/02/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Daniel Mumford | 2280989 | 1 | 03/02/1999 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Mark Anthony Rocca | 2373189 | 2 | 02/25/1999 | Customer Dispute | Settled | $7,378.00 | $0.00 | See FINRA Report |