Articles Posted in morgan stanley

Former broker Charles Albert Dixon, Jr. (CRD# 1660422) has been permanently barred by FINRA after a disciplinary action that was signed and completed on 1/22/2018. He is no longer allowed to work as a broker, associate with another broker or be affiliated with a broker-dealer firm. Dixon was discharged by…

Investment broker Angel Edgardo Aquino-Velez (CRD#: 2687333) is no longer working as a broker, according to FINRA. Velez was previously registered as a broker, with the last place of employment listed as Morgan Stanley (CRD# 149777). His name is also listed as “Angel Edgardo Aquino,” “Angel E AquinoVelez” and, “Angel…

Peter J. Doyle CRD#2370593 Silver Law Group is investigating former Washington DC-based Morgan Stanley broker Peter J. Doyle after a customer was awarded in excess of $8,000,000 million for alleged unsuitable investment advice, misrepresentation and elder abuse. According to FINRA’s BrokerCheck report on Doyle, a complaint was received in July…

Silver Law Group is investigating claims against Miami-based stockbroker Angel E. Aquino-Velez. According to FINRA records, Mr. Aquino is no longer registered with Morgan Stanley. Aquino’s FINRA BrokerCheck record shows (11) total Customer Disputes with (3) of those disputes still pending resolution. The pending claims allege unsuitability and misrepresentation with…

Silver Law Group has filed a complaint on behalf of a family group of investors against Morgan Stanley (CRD# 149777) and financial advisor Angel E. Aquino-Velez (CRD# 2687333) for unsuitable recommendations and concentration of client accounts in Puerto Rico municipal bonds. The allegations against Morgan Stanley and Aquino include unsuitable…

Silver Law Group is investigating former New York, New York-based broker William V. Siegel (CRD# 4407213) after FINRA permanently barred Siegel from selling securities to the public. According to Siegel’s FINRA BrokerCheck report, the Financial Industry Regulatory Authority (“FINRA”) suspended Siegel in April 2016 after he failed to comply with…

Silver Law Group is investigating former Deerfield, Illinois-based Morgan Stanley Smith Barney broker Brian C. Sak (CRD# 3259830) after he was terminated for allegations that he placed customers in unapproved investments. According to Sak’s FINRA BrokerCheck Report, he was terminated on May 17, 2016 by Morgan Stanley (CRD# 149777) due…

Silver Law Group is investigating former UBS Financial Services Inc. (CRD# 8174) broker Michael R. Smith (CRD# 428405) after UBS terminated the broker. UBS terminated Smith, based out of Aventura, Florida, in October 2015 after he failed to disclose to the firm that he was named trustee for the trust…

Silver Law Group is investigating former New Jersey-based Morgan Stanley (CRD# 149777) broker Barry F. Connell (CRD# 3070984) over SEC allegations that he stole money from his customers. According to the SEC complaint, Connell misappropriated approximately $5 million from Morgan Stanley clients from December 2015 through November 2016.  Allegedly, Connell…

Silver Law Group is investigating former Mississippi-based Morgan Stanley (CRD# 149777) broker Hilary J. Zimmerman (CRD# 2191841) over unauthorized trading allegations. According to Zimmerman’s FINRA BrokerCheck report, Zimmerman is the subject of seven (7) disclosures.  Out of the seven disclosures, Zimmerman has had three (3) settled on his behalf and…