The Financial Industry Regulatory Authority (FINRA) has suspended Steven Melen for four months and fined him $7,500 for failure to disclose his beachfront rental property in Panama.
Tagged with "Morgan Stanley"
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FINRA Suspends Former Morgan Stanley Advisor Who Failed to Disclose Rental Property
Posted on May 6th, 2021 at 9:25 AM
Affidavit of Merit Received in Eccleston Law’s $25 Million Legal Malpractice Action
Posted on April 1st, 2021 at 9:36 AM
Affidavit of Merit Received in Eccleston Law’s $25 Million Legal Malpractice Action On Behalf of Transitioning Morgan Stanley Advisors Who Retained Michael Taaffe and the Shumaker Loop Firm
Former Morgan Stanley Advisor Sentenced to 5 Years for Fraud
Posted on April 1st, 2021 at 9:34 AM
Michael Barry Carter is going to prison after stealing at least $6.15 million from clients to fund his lifestyle.
FINRA Suspends Former Morgan Stanley Advisor Over Expense Account Submissions
Posted on March 22nd, 2021 at 2:23 PM
The Financial Industry Regulatory Authority (FINRA) sanctioned Kerry Moy with a $5,000 fine and two-month suspension related to resolve allegations of inaccurate expense account submissions.
Carve-Out Provision Plays A Crucial Role in Morgan Stanley Advisor Transition Battle
Posted on February 25th, 2021 at 3:18 PM
An employment agreement, including a one-paragraph amendment signed over a decade ago, now is playing a crucial role in ongoing litigation between Morgan Stanley and RBC.
Boca Raton Financial Advisor Terminated by Morgan Stanley
Posted on February 18th, 2021 at 9:12 AM
Morgan Stanley Dismisses Veteran Financial Advisor
Posted on February 15th, 2021 at 1:24 PM
Morgan Stanley Recovers Million Dollar Prom Note Balance from Advisor Who Represented Himself
Posted on February 5th, 2021 at 2:06 PM
A sole arbitrator held a Florida advisor liable for the full amount of a $984,000 promissory note. The award also orders the advisor to pay $23,000 in legal and filing costs.
Federal Court Grants Injunction Against Former Morgan Stanley Advisor Team
Posted on January 27th, 2021 at 3:12 PM
The Eccleston Law blog previously discussed the lawsuit filed by Morgan Stanley against its Former advisor team led by Wade Martin, as well as the counterclaim filed by the Martin team.
Morgan Stanley Terminates Another Advisor for Alleged Misconduct Related to Inherited Accounts
Posted on January 22nd, 2021 at 8:47 AM
In the fall of 2020, Morgan Stanley terminated 10 advisors following an internal review of the firm’s Former Advisor Program (“FAP”).
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