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Morgan Stanley

September 09, 2024 Morgan Stanley Fined $2 Million Over Improper First Republic Trades
February 22, 2024 Morgan Stanley Broker Stole $3.5 Million from Clients, According to SEC, Arrested for Elder Exploitation
November 27, 2023 Stephen Takeda Barred During Customer Loans Investigation
February 24, 2023 Beverly Hills Broker Antoine Souma Barred After Failing to Cooperate with FINRA Investigation
October 20, 2021 Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
June 06, 2019 Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading
October 11, 2018 Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers