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 |
|---|---|---|---|---|---|---|---|---|
| Myron Nevil Johnson | 5127543 | 2 | 03/28/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Marks Spiro | 1280994 | 3 | 03/18/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Diana Deville | 3239053 | 1 | 03/15/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Norman Thorn Robertson | 1121726 | 2 | 03/10/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert David Levalley | 1351906 | 3 | 03/04/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terry Ray Swartzentruber | 3231046 | 1 | 02/27/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Simon Alexander | 730282 | 2 | 02/25/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wayne Wesley Ward | 1069450 | 1 | 01/06/1994 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Daniel McConnell Murphy | 735148 | 1 | 01/04/1994 | Customer Dispute | Award / Judgment | $44,000.00 | $13,211.40 | See FINRA Report |
| Arnold Murray Peskin | 360889 | 6 | 01/01/1994 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |