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 |
|---|---|---|---|---|---|---|---|---|
| Robert McDaniel Brownlow | 2834753 | 2 | 10/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matt Alan McKinney | 5479034 | 4 | 10/11/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Emilio Kenney | 1230670 | 4 | 10/08/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shih-Hua Liu | 1659408 | 6 | 10/08/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shih-Hua Liu | 1659408 | 6 | 10/01/1992 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Shih-Hua Liu | 1659408 | 6 | 10/01/1992 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Shih-Hua Liu | 1659408 | 6 | 10/01/1992 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Gary Scott Jefferson | 1584749 | 2 | 09/30/1992 | Customer Dispute | Award / Judgment | $73,218.40 | $37,700.00 | See FINRA Report |
| James L Mills | 2095231 | 2 | 09/24/1992 | Customer Dispute | Settled | $12,500.00 | $0.00 | See FINRA Report |
| Frank Lyon Polk | 1673373 | 4 | 09/21/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |