Tagged with "Morgan Stanley"

Former Citibank Advisor Agrees To Non-Solicit Ban After Departing Morgan Stanley

Posted on April 5th, 2022 at 2:06 PM
Former Citibank Advisor Agrees To Non-Solicit Ban After Departing Morgan Stanley

A former New York-based Citigroup advisor has agreed to a client solicitation ban after recently departing Citigroup to join Morgan Stanley.

 
 
 

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Morgan Stanley Hit With Another Deferred Compensation Claim

Posted on March 29th, 2022 at 12:18 PM
Morgan Stanley Hit With Another Deferred Compensation Claim

Morgan Stanley’s legal woes over its withholding of deferred compensation from brokers who leave for another firm are multiplying. Attorney James Eccleston stressed that a threat still persists in the federal proposed class action that Morgan Stanley will persuade the court to compel the plaintiffs to arbitrate.

 
 
 
 
 

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Recent Morgan Stanley Recruiting Video Directly Criticizes Merrill Lynch

Posted on March 11th, 2022 at 2:27 PM
Recent Morgan Stanley Recruiting Video Directly Criticizes Merrill Lynch

A recently-produced Morgan Stanley recruiting video that managers can use to convince potential recruits to join the firm directly criticizes its rival, Merrill Lynch.

 

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FINRA Bars Former Morgan Stanley Advisor Facing Millions in Claims from Pro Athletes

Posted on February 14th, 2022 at 12:00 PM
FINRA Bars Former Morgan Stanley Advisor Facing Millions in Claims from Pro Athletes

A former Morgan Stanley advisor has been barred by the Financial Industry Regulatory Authority (FINRA) after receiving numerous complaints from his former professional athlete clients, including former basketball star Chandler Parsons.

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Former Morgan Stanley Advisor Settles FINRA Charge Over Inherited Account Coding

Posted on February 7th, 2022 at 11:22 AM
Former Morgan Stanley Advisor Settles FINRA Charge Over Inherited Account Coding

The Financial Industry Regulatory Authority (FINRA) has issued a 10-day suspension and a $2,500 fine against another former Morgan Stanley advisor over an alleged miscoding of trades on inherited accounts.

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If the regulators are after you, and are trying to make a case against you, and you are going to contest their allegations against you, make sure you have the best securities industry defense lawyers, Eccleston Law Firm. My case was spun into a combination of penalties including fines, cash settlements, CE courses and suspension. They were the best I have seen in action. When all was said and done, they had done their magic, my situation was negotiated and settled with a simple "letter of caution" and a case closed without action. It is the most important legal business decision you will ever make, make it Eccleston Law.

Rick R.

LATEST NEWS AND ARTICLES

June 27, 2025
FINRA Sanctions Advisor for Accepting $1 Million Inheritance from Client Without Firm Approval

FINRA has fined and suspended veteran advisor Kenneth J. Malm for accepting a $1 million inheritance from a client without receiving the necessary firm approval.

June 26, 2025
SEC Charges Marine Veteran in $2.5 Million Ponzi Scheme

The Securities and Exchange Commission (“SEC”) has charged Marine Corps veteran Christopher Aubin with fraud, accusing him of running a $2.5 million Ponzi scheme that defrauded dozens of investors, including several of his former military colleagues.

June 25, 2025
FINRA Fines and Suspends Advisor for Selling Away and Receiving Client Loans

The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Jose Antonio “Tony” Navarro for selling unapproved investments and borrowing funds from clients.