Barry F. Connell, of Chester, New Jersey, an investment adviser representative and stockbroker formerly registered with Morgan Stanley, has been charged by the Securities and Exchange Commission (SEC) in a Complaint alleging that he misappropriated firm customers’ funds. Securities and Exchange Commission v. Barry F. Connell, No. 1:17-cv-00831 (S.D.N.Y. filed Feb. 3, 2017). According to […]
Read More »
Tag Archives: Barry F. Connell
Morgan Stanley Stockbroker Steals $7 Million From Customers
March 08, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments
New Jersey Based Morgan Stanley Broker Caught Stealing $5 Million
February 06, 2017 | Posted by : Guiliano Law Group | Failure To Supervise, FINRA Securities Arbitration, Investment and Regulatory News | 0 Comments
Barry F. Connell, formerly of the Ridgewood office of Morgan Stanley, Inc., formerly known as Morgan Stanley Smith Barney, Inc., was charged by the United States Securities & Exchange Commission for the Connell, for the violation of Sections 206(1) and 206(2) of the Advisers Act, in that while acting as an investment adviser, by use […]
Read More »