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 |
|---|---|---|---|---|---|---|---|---|
| James Vallery | 4123058 | 1 | 01/23/2019 | Customer Dispute | Denied | $27,682.10 | $0.00 | See FINRA Report |
| James C Blake | 2758222 | 4 | 01/22/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Thomas Steck | 1094342 | 7 | 01/18/2019 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Malkia S Dandy | 3059679 | 3 | 01/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rane W Robinson | 4152268 | 1 | 01/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carlos A Cruz | 7838246 | 1 | 01/09/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Anthony Novelli | 1968534 | 1 | 01/07/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Burris | 6192027 | 1 | 01/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholaus Dean Richters | 376095 | 1 | 01/05/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa M Draughon | 4921634 | 1 | 01/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |