Tag Archives: Barbara Jean Waters

Morgan Stanley Stockbroker Barred In Investigation

October 05, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Barbara Jean Waters, of New York, New York, a stockbroker formerly registered with Morgan Stanley, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by consenting to findings that she failed to testify in a FINRA investigation concerning allegations that she provided false accounting documents to her […]

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