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 |
|---|---|---|---|---|---|---|---|---|
| Brian T O'Connor | 5183679 | 1 | 07/06/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth James Tignor | 6228267 | 1 | 07/24/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrea Jenson | 2767574 | 1 | 02/11/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas B Romero | 5225189 | 1 | 01/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael T Pierce | 4979300 | 1 | 09/07/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael Leblanc | 2840129 | 2 | 09/13/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul L Minella | 2225954 | 1 | 08/04/1995 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| James Howard | 1893553 | 1 | 09/17/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Ralph Vasseghi | 2552645 | 1 | 08/12/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Aaron Lipsky | 2500254 | 1 | 04/28/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |