Category: Morgan Stanley Complaints

Mar 8, 2022

Michael New of BMO Harris Financial Advisors

Jeremy Newton (CRD #4206456) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Merrill Lynch Pierce Fenner & Smith, Jeremy Newton was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Mar 7, 2022

Jeffrey Johnson formerly with Morgan Stanley

Jeffrey Johnson (CRD #5522469) who was formerly registered with Morgan Stanley and located in Birmingham, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Jeffrey Johnson has been the subject of at least 2 FINRA investigations, 1 of the investigations related to the nonpayment of arbitration award entered against him. The other investigation related to his alleged participation in an outside business activity in private securities transaction that receiving approval from the firm. Without admitting or denying the allegations, Jeffrey Johnson consented to a seven-month suspension and $10,000 fine.

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Jan 20, 2022

Francis Aurino of Morgan Stanley

Aurino (CRD #1754375) who is currently registered with Morgan Stanley and located in Beverly Hills, California is a subject of one of our many securities industry sales practice abuse investigations.

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