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 |
|---|---|---|---|---|---|---|---|---|
| Helen Susan Rothlein | 709040 | 2 | 06/23/1993 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| Raymond Marcellus Cooper | 1884733 | 4 | 06/16/1993 | Customer Dispute | Settled | $6,600.00 | $0.00 | See FINRA Report |
| Kathleen M Carroll | 2546839 | 4 | 06/09/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory William Kennedy | 1882220 | 5 | 06/03/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jacob Gershon Shapira | 1890969 | 6 | 06/01/1993 | Customer Dispute | Award / Judgment | $100,000.00 | $99,701.00 | See FINRA Report |
| John Eric Valentine | 1952884 | 1 | 05/27/1993 | Customer Dispute | Settled | $29,640.50 | $0.00 | See FINRA Report |
| Stephen Howard Davis | 1264575 | 6 | 05/13/1993 | Customer Dispute | Award / Judgment | $100,000.00 | $52,000.00 | See FINRA Report |
| Thomas Craig Bonds | 1867556 | 5 | 05/13/1993 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Kathleen Mary Valentine | 1216386 | 3 | 05/11/1993 | Customer Dispute | Award / Judgment | $10,000.00 | $5,000.00 | See FINRA Report |
| Richard Alan Petit | 1017746 | 1 | 05/07/1993 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |