Morgan Stanley

May 20th, 2015

Morgan Stanley Financial Advisor Steals $20,000 From Investor

Patrick James Manriquez (“Manriquez”) from Beaumont, Texas has been banned from the securities industry for stealing $20,000 from an investor. He deceived the investor by making […]
Apr 6th, 2015

Financial Advisor With Morgan Stanley Engages In Unauthorized Trading

A financial advisor with Morgan Stanley has been punished for making sale transactions in an investor’s account, without the investor’s consent. Shawn Richardson forced the investor […]
Mar 20th, 2015

Irvine Stockbroker Barred From Securities Industry For Improper Withdrawals From Investor’s Account

Peter Kim, a former stockbroker with Morgan Stanley, has been barred from the securities industry. According to FINRA, Kim refused to cooperate with an investigation into […]
Oct 7th, 2014

Santa Barbara Stockbroker Suspended for Improper Sales of Private Securities

Travis Shannon of Morgan Stanley has been suspended for improperly selling $1.885 million in private securities. Private securities are investments that are not publicly traded or […]
Oct 5th, 2014

Irvine Stockbroker Willfully Fails to Disclose Tax Liens

Mehran Sadri of Morgan Stanley received a fine and suspension for willful failure to disclose a $70,000 IRS tax lien on his Form U4, hiding this […]