Deanne M. Lampe of Morristown New Jersey a stockbroker formerly registered with Morgan Stanley has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that she failed to reply to FINRA personnel concerning information about her business activities. Case No. 2017053777501 (Jan. 19, 2018).
FINRA Public Disclosure reveals that Lampe had been suspended on November 9, 2017. FINRA provided Lampe until January 18, 2018 to provide FINRA with the requisite information to terminate her suspension; however, she failed to oblige, resulting in her automatic bar from the securities industry.
On March 7, 2017, Morgan Stanley Wealth Management discharged Lampe supported by allegations that multiple customers’ account documentation had been improperly altered by Lampe, and customers’ signatures had been recycled by Lampe in violation of the firm’s policy.
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