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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Anthony Butler | 1138534 | 2 | 12/31/2020 | Customer Dispute | Award / Judgment | $1,590,300.00 | $165,708.00 | See FINRA Report |
| Shane L Richardson | 4840327 | 7 | 12/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon T Simmons | 7441338 | 2 | 12/23/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Richard Sophia | 3222645 | 5 | 12/22/2020 | Customer Dispute | Dismissed | $88,650.00 | $0.00 | See FINRA Report |
| Laura B McLaughlan | 7518304 | 1 | 12/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Philip Arnella | 4886531 | 2 | 12/18/2020 | Customer Dispute | Settled | $6,500,000.00 | $0.00 | See FINRA Report |
| Marquee Daneen Smith | 2765252 | 4 | 12/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marquee Daneen Smith | 2765252 | 4 | 12/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Gabrielle Montoya | 5973901 | 1 | 12/09/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benjamin Franklin Duckett | 6143741 | 1 | 12/09/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |