Raymond Keith Malicki of Easton Pennsylvania a stockbroker formerly employed by Morgan Stanley Wealth Management has been terminated from the firm on July 12, 2018 based upon allegations that Malicki executed transactions in a customer’s account held away from the firm.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Malicki is referenced in three additional customer initiated investment related disputes containing accusations of Malicki’s violative conduct during the time that he was associated with Citigroup GMI and Salomon Smith Barney. Specifically, on August 13, 1998, a customer filed an investment related complaint concerning Malicki’s conduct in which the customer sought damages estimated to exceed $5,000.00 supported by allegations that the customer’s instructions concerning an annuity purchase had been disregarded.
On October 10, 2001, another customer initiated investment related complaint regarding Malicki’s activities was settled for $20,000.00 in damages founded on accusations that over-the-counter equities and options purchases were effected in the customer’s investment account that the customer did not authorize, and inappropriate investments were selected for the customer’s account. Then, on September 10, 2007, a customer initiated investment related complaint involving Malicki’s conduct was resolved for $18,000.00 in damages based upon allegations that the customer’s closed-end fund equity transaction had been misrepresented.
Since August 3, 2018, Malicki has been registered with Oppenheimer & Co. Inc.
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