Our Staff has compiled our research into a database of FINRA Broker Disclosures for Morgan Stanley & Co. LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Nicklas Volbi | 5362103 | 1 | 08/29/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Scott Manheimer | 5363470 | 1 | 11/17/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Craig Bethell | 5198330 | 1 | 10/27/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter James Douglass | 2231448 | 1 | 07/19/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher S Lee | 3253368 | 1 | 04/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Siuchin Huang | 2089563 | 1 | 01/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael A Stern | 4939073 | 1 | 01/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John J Moore | 1641890 | 1 | 11/20/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Calder Byrd | 3103551 | 1 | 11/20/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas E Smallman | 4272758 | 1 | 11/20/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |