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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June 23, 2025
FINRA Fines AAG Capital for RILA Exchange Violations

The Financial Industry Regulatory Authority (“FINRA”) has fined AAG Capital $100,000 and ordered the firm to pay nearly $39,000 in restitution after finding it violated Regulation Best Interest (“Reg BI”) by recommending costly registered index-linked annuities (“RILAs") to retail clients in unsuitable product excha...

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